Bangkok, August 21, 2009 ? The Settlement Committee imposed a fine of 6,686,549.80 baht (approximately USD191,044) on Ratchanon Piriyapongpan (formerly Wisit Kanjanopas), a lawyer at Baker & McKenzie

Bangkok, September 9, 2009 ? The Settlement Committee imposed a total fine of 1,333,333.33 baht (approx. USD37,500) on Anucha Sihanatkathakul, Saksilpa Kongkanon and Chaiwit Chuensirivej for

notification of the Capital Market Supervisory Board. He later filed the reports (Form 59-2) to the SEC Office on January 21, 2019. SEC Act S.59 Settlement Committee Meeting No. 1/2020 Settlement Committee

S.116 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 7/2020 Dated 13/03/2020

specified in the notification of the Capital Market Supervisory Board. Mr. Woraphant later filed the report (Form 59-2) to the SEC Office on March 25, 2020. SEC Act S.59 Settlement Committee Meeting No. 3

. SEC Act S.56(2) Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 23/2020 Dated 02/09/2020

notification of the Capital Market Supervisory Board. She later filed the reports (Form 59-2) to the SEC Office on November 28, 2018. SEC Act S.59 Settlement Committee Meeting No. 1/2020 Settlement Committee

.283 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 9/2020 Dated 13/03/2020

receive necessary and useful information for using the intermediary?s service or for making a decision of investment in foreign mutual fund. SEC Act S.113 Settlement Committee Meeting No. 3/2020