including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.113 Criminal

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

Group Lease Public Company Limited SEC Act S.56(1) Criminal Complaint Filed with an Inquiry Official Dated 11/06/2024

Marnfah Group Company Limited Marnfah Group Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S

Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to

Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021

Marnfah Group Company Limited Marnfah Group Company Limited ,by the authorized director Ornpaphat Chantarasaka , had solicited the public to make an investment with the company based on a scheme of

Diamond and Silverline Group Co., Ltd. Diamond and Silverline Group Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives

Esteemed Networks Group Ltd. Esteemed Networks Group Ltd. failed to report the acquisition of NOBLE shares to the SEC Office within the period specified in the notification of the Capital Market

Miss Ornpaphat Chantarasaka Miss Ornpaphat Chantarasaka, authorized director, responsible for the operation of Marnfah Group Company Limited, shall be liable for Marnfah Group Company Limited offer