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

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

Mr. Win Udomrachtavanich Mr. Win Udomrachtavanich, a former chairman of Risk Management Committee, who is responsible for the operation of KTBST Securities Public Company Limited ("KTBST"

Mr. Nattapong Na Ranong Mr. Nattapong Na Ranong, a former commissioner of Risk Management Committee, who is responsible for the operation of KTBST Securities Public Company Limited ("KTBST"

Mr. Chatri Sophonvanich Mr. Chatri Sophonvanich, a former commissioner of Risk Management Committee, who is responsible for the operation of KTBST Securities Public Company Limited ("KTBST

Mr. Jung Kyu Kim Mr. Jung Kyu Kim, a chief operating officer, a former chief financial officer and a former commissioner of Risk Management Committee, who is responsible for the operation of KTBST

Banpu Public Company Limited Banpu Public Company Limited (“BANPU”) failed to prepare and submit the result of the bond sale report to the SEC Office between 26 February 2020 to 27 January 2021

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

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