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

Mr. Prasong Suviwattanachai Mr. Prasong Suviwattanachai as the owner and beneficiary of 14 securities trading accounts of foreign juristic persons opened at UOB Kay Hian Private Ltd. and EFG Private

Bangkok, April 20, 2016 ? The Settlement Committee has imposed a fine of 14,640,844.50 baht on Chayanont Weerayuthkosol for manipulating the share price of Chuo Senko (THAILAND) Plc. (CHUO

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

Settlement Committee Meeting No. 6/2020 Settlement Committee Order No. 30/2020 Dated 18/11/2020