responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board

KRUNG THAI ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Cross Investing Fund | Offering Date : 22/07/2019 - 30/07/2019

the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A

committed offenses under Section 283 as well as Paragraph 3 and Paragraph 4 of Section 285bis of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 5) B.E

SCB ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund ,Retirement Mutual Fund : RMF,Sector Fund | Offering Date : 27/10/2015 - 04/11/2015

SCB ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund ,Sector Fund | Offering Date : 25/08/2015 - 31/08/2015

BBL ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund ,Retirement Mutual Fund : RMF,Sector Fund | Offering Date : 07/05/2015 - 15/05/2015

KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund ,Sector Fund | Offering Date : 28/02/2008 - 10/03/2008

BBL ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund ,Sector Fund | Offering Date : 15/08/2007 - 27/08/2007

XSPRING ASSET MANAGEMENT COMPANY LIMITED|Feeder Fund ,Super Savings Fund : SSF | Offering Date : 31/05/2021 - 04/06/2021