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

’ impact on the business operation of 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

Supervisory Board concerning the Rules on Personnel in the Capital Market Business to be a temporary highest responsible person during the process of appointing the highest level responsible person in the

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

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

Limited ("TMBAM eastspring") failed to order or act duty resulting in TMBAM eastspring failed to put in place sufficient and effective system for managing mutual fund, market risk and liquidity

futures for hedging risk. SEC Act S.133 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022

, and procedures as specified in the Notification of the SEC Office by managing 15 mutual funds to invest in other mutual funds under SCBAM’s management more than one level. SEC Act S.125(1) and 126/1

(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