Asia Wealth Securities Company Limited Is being processed. SEC Act S.98(3)  Criminal Complaint Filed with an Inquiry Official Dated 29/12/2022

Asia Wealth Securities Public Company Limited Between February 25, 2021 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to submitting an accurate and

surveillance system that was not circumspect enough to warn Bitkub to immediately realize a transaction that might be a price manipulation. DAB Act S.30 Settlement Committee Meeting No. 7/2021 Settlement

Jitta Wealth Asset Mannagement C Between March 1, 2023 and May 11, 2023, Jitta Wealth Asset Mannagement Co.,Ltd, a fund management company, it has assigned person who are not person in the capital

Mr. Supakorn Soontornkit Between September 7, 2017 and July 11, 2019; Mr. Supakorn Soontornkit, chief executive officer of Asia Wealth Asset Management Company Limited (?Asia Wealth Asset

Mr. Supakorn Soontornkit Between March 20, 2017 and September 18, 2018; Mr. Supakorn Soontornkit, chief executive officer of Asia Wealth Asset Management Company Limited (?Asia Wealth Asset

Mrs. Apirati Chairat Between September 7, 2017 and December 1, 2018; Mrs. Apirati Chairat, managing directer of Asia Wealth Asset Management Company Limited (?Asia Wealth Asset Management?), failed

ASIA WEALTH SECURITIES COMPANY LIMITED This case is in the process of inquiry by the Criminal Court. SEC Act S.97 Criminal Complaint Filed with an Inquiry Official Dated 06/03/2024

Asia Wealth Securities Public Company Limited Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net capital (NC

Asia Wealth Securities Public Company Limited Between March 26, 2021 and February 11, 2022, Asia Wealth Securities Public Company Limited, as a securities and derivatives broker, failed to maintain