Asia Wealth Securities Public Company Limited Between June 4, 2020 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, engaged in an act which may cause damage or

KTB Securities (Thailand) Public Company Limited Between December 16, 2016 and January 31, 2019 KTB Securities (Thailand) Public Company Limited as a securities broker engaged in act which may cause

;) failed to order or act duty resulting in KTBST engaged in act which may cause damage or constitute an unfair advantage to its customers or other interested person as specified in the notification of the

;) failed to order or act duty resulting in KTBST engaged in act which may cause damage or constitute an unfair advantage to its customers or other interested person as specified in the notification of the

") failed to order or act duty resulting in KTBST engaged in act which may cause damage or constitute an unfair advantage to its customers or other interested person as specified in the notification

("KTBST") failed to order or act duty resulting in KTBST engaged in act which may cause damage or constitute an unfair advantage to its customers or other interested person as specified in the

Company Limited (“Daol”) failed to order or act duty resulting in Daol engaged in act which may cause damage or constitute an unfair advantage to its customers or other interested person as specified in the

Company Limited (“Daol”) failed to order or act duty resulting in Daol engaged in act which may cause damage or constitute an unfair advantage to its customers or other interested person as specified in the

efficiency of such oversight. In so doing, the SEC engaged an independent research institute to conduct a comparative study on the oversight of audit firms and auditors in the capital market between the Thai

companies and waiving the requirement to use the term “securities company” in the company’s title if the company has previously been engaged in other businesses. Additionally, in order to protect investors