sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020

Daol Securities (Thailand) Public Company Limited Between November 11, 2017 and May 17, 2021 Daol Securities (Thailand) Public Company Limited, a private fund management company, failed to comply

(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to put in place a sufficient and effective systems of operation, control and risk management of derivatives broker which violated section 113 of

accounts: Miss Uraiwan’s 6 securities accounts of Country Group Securities Public Company Limited, KGI Securities (Thailand) PCL., KTBST Securities Public Company Limited (“KTBST Securities”), Finansia Syrus

Krungthai Zmico Securities Company Limited which Ms. Uraiwan gave Mr. Telaphon an authority to trade securities in those securitites accounts on behalf of Ms. Uraiwan and Mr. Telapon’s 2 securities accounts

baht solar power plant project of The Bangchak Petroleum Public Company Limited that he obtained by attending the negotiation, before such information became public. SEC Act S.241 Settlement Committee

rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective exhaustively comprehensive risk management

the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However, KWI reported Risk Level

risk of daily fixed income which are (1) TMB Ultra - Short Bond Fund ("TMBUSB") (2) TMB Aggregate Bond Fund ("TMBABF") (3) TMB THANAPLUS Fund ("TMBTHANAPLUS") and (4) TMB

procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for managing mutual fund, market risk and liquidity risk of daily