UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and

submitted through the transmission system of the SEC office on March 9, 2023. SEC Act S.56(4) Settlement Committee Meeting No. 3/2024 Settlement Committee Order No. 31/2024 Dated 13/05/2024

notification of the SEC by failing to put in place a sufficient and effective system for brokerage services system in digital asset trading, causing the coin prices displayed in the order book was inaccurately

comply with the rules, conditions and procedures as specified in the notification of the SEC by failing to put in place a sufficient and effective system for brokerage services system in digital asset as

adequate information for customers’ risk assessment (Know Your Customer and Customer Due Diligence system (KYC/CDD)). DAB Act S.30 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 4

("MD&A") through the transmission system of the SEC office within the period specified in the notification which is within February 28, 2023. However, M-CHAI submitted the MD&A to the SEC

prepare and submit an Interim Management Discussion and Analysis for the year 2021 (MD&A) through the transmission system of the SEC office within the period specified in the notification resulted from

system of the SEC office within the period specified in the notification which is within February 28, 2023. However, CV submitted the key financial ratio report for the year 2022 to the SEC office on March

for CV's failure to prepare and submit the key financial ratio report for the year 2022 through the transmission system of the SEC office within the period specified in the notification resulted

PATKOL PUBLIC COMPANY LIMITED PATKOL PUBLIC COMPANY LIMITED (“PK”), a listed company, had duties to prepare and submit a financial statement for the year 2022 through the transmission system of the