Mr. Khumsup Lochaya During December 11, 2008 to present, Mr. Khumsup Lochaya inaccurately reported or fail to reported to the SEC Office the acquisition or disposal of Superblock Public Company
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
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
, 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
with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person that is
with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person that is
with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person that is Mr
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the compliance unit to the SEC
Company Limited (“AJD”). The present changed name to AJ Advance Technology Public Company Limited (“AJA”) and Mr. Pipat Patiwetphinyo (“Mr. Pipat”) (at the time holding the positions of AJD Chief Operating