sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with

financial statements for Q1/2015 to the Stock Exchange of Thailand and the SEC Office within May 15, 2015. However, the financial statements were later submitted to the SET and the SEC Office on July 14, 2015

customers' digital assets with the digital asset depository service providers in accordance with the notification of the SEC for 183 days. DAB Act S.30 Settlement Committee Meeting No. 8/2022

asset depository service providers. This case is under consideration of the public prosecutor. DAB Act S.30 Criminal Complaint Filed with an Inquiry Official Dated 07/07/2022

customers' digital assets with the digital asset depository service providers in accordance with the notification of the SEC for 193 days. DAB Act S.30 Settlement Committee Meeting No. 1/2022

asset depository service providers. This case is under consideration of the public prosecutor. DAB Act S.30 Criminal Complaint Filed with an Inquiry Official Dated 28/12/2021

Mr. Richard Dunston Malpass Mr. Richard Dunston Malpass (“Mr. Malpass”), resided in Thailand, solicited foreign investors to make investment in mutual fund based on his advice for the sake of tax

Mr. Fredrick Ian Mcintyre Mr. Fredrick Ian Mcintyre, the former director of Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited (Broadgate) responsible for the operation of

statement for the year 2014 to the Stock Exchange of Thailand and the SEC Office within March 2, 2015. On March 2, 2015, T submitted the inaccurate financial statement which did not comply with the Financial

statement for the year 2014 (Form 56-1, 2014) to the Stock Exchange of Thailand and the SEC Office within March 31, 2015. On March 30, 2015, T submitted the inaccurate annual registration statement which did