in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act

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

KTB Securities (Thailand) Public Company Limited KTB Securities (Thailand) Public Company Limited as a securities broker failed to comply with the rules, conditions and procedures as specified in the

induce the investing public into the trading. SEC Act S.243(1) in conjunction with 244 and 243(2) Settlement Committee Meeting No. 4/2012 Settlement Committee Order No. 32/2012 Dated 20/08/2012

settlement of such purchase for Mr. Swake Srisuchart?s benefit. SEC Act S.241 in conjunction with Section 86 of the Penal Code Settlement Committee Meeting No. 5/2013 Settlement Committee Order No. 47/2013

(PLE)?s shares by using material non-public information. According to Mrs. Usavadee Srisuchart?s order, Mr. Perayuth Nark-In sent trading orders of PLE?s shares through others? accounts and assisted in

the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for managing private fund with

campaign that was not in accordance with the rules, procedures and conditions as specified in the notification of the SEC. In this regard, the advertisements published on social media and billboards on BTS

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

and 243(2) in conjunction with Section 86 of the Penal Code Settlement Committee Meeting No. 1/2014 Settlement Committee Order No. 21/2014 Dated 22/01/2014