May 2017

• Company background

• Vision

• Why Asia Wealth Securities?

• Shareholding structure

• Board of Directors

• Organization structure

• Management committee

• Operating performance

• Full range of financial services

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• Name changed to “Asia Wealth Securities Co., Ltd.” (Licenses

formerly belonged to CIMB-GK (Thailand) Co., Ltd. 09 Jul 2013

• Obtained a Brokerage License and Underwriting License from

the Office of S.E.C21 Oct 2013

• First day for securities trading operations18 Nov 2013

• First day of derivatives trading operations18 Dec 2013

• Obtained a Financial Advisory License 07 Feb 2014

• Received a Securities Borrowing and Lending (SBL) License02 Apr 2014

• Obtained a Private Fund License11 Jun 2014

• To become a leading regional broker that creates and protects customers’

and investors’ wealth through our excellent services and good corporate

governance

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Customers

Staff

Society

ShareholdersAsia Wealth’s

Responsibilities

• Each of our management team possesses more than 20 years of experience

and proven track records in the Thai capital market.

• Our professional marketing team is ready to use their extensive experience

and knowledge to make investing a good experience for our customers and

investors.

• We offer a full-line of investment products that match the needs of investors

through their entire economic lifecycle and lifestyle.

• We have invested in the world’s latest and widely-accepted technology for the

sake of convenience and confidence of our customers and investors.

• We emphasize creativity and innovation in new financial products to provide

our customers and investors with investment alternatives and appropriate

returns.5

6Remarks : Data as of May 2017

Asia Wealth Holding Co., Ltd. - AWH100% shareholding

Asia Wealth Securities Co., Ltd. - AWS

(Registered capital of 830 MB – fully paid)

Mr. Kamthorn Tatiyakavee

Authorized Director

Director and President,President Holding Co., Ltd.

Mr. Korn Chotjiraphat

Authorized Director

Managing Director, Marketing Division,

Asia Wealth Securities Co., Ltd.

Mr. Surathian Chakthranont

Director

Director

WHA Corporation Public Co., Ltd.

Mrs. Nonglak Virameteekul

Authorized Director

Chairman,

M Thai Industrial Co., Ltd.

Ms. Jareeporn Jarukornsakul

Authorized Director

Vice-chairman of Board of Directors, Director, and

Chief Executive Officer

WHA Corporation Public Co., Ltd.

Ms. Kaewjai Pha-oenchoke

Authorized Director

Chief Executive Officer,

Thai VP Corporation Ltd.

Dr. Somyos Anantaprayoon

Authorized Director

Chairman of Board of Directors and Director,

WHA Corporation Public Co., Ltd.

Dr. Pranee Pha-oenchoke

Authorized Director

President, Thai Rung Union Cars

Public Co., Ltd.

Dr. Ronnachit Mahattanapreut

Director

Senior Vice President, Finance & Administration

Central Plaza Hotel Public Co., Ltd.

Dr. Manu LeopairoteChairman

Mr. Surachai Danaitangtrakul

Director

Chairman – Government Housing Bank

Director - KTB Leasing

Board member – Thai Samsung Life Insurance.

Independent Director - Sahapatana Inter-holding

Mr.Saringkarn SutaschutoCEO

Organization Structure : Asia Wealth Securities Company Limited (Update as of December 26, 2016)

Chief Management OfficeBusiness Development

Securities Borrowing Information Technology

Human Resources

Administration

Operation

Credit Control

Accounting

Finance & Budgeting

Marketing 6

Marketing 1

Marketing 2

Marketing 3

Marketing 4 Wealth Support

Marketing 5

Operation - Wealth

Private Fund Investment

Wealth Advisor Data Support

Chief Operation OfficeChief Accounting &

Financial Office

Wealth Engineer Technical Analysis

Wealth Research &

DesignFundamental Analysis

Compliance

Investment Committee Private

Fund CEO OfficeAudit

Marketing Wealth Management Investment Banking Research

Private Fund - Risk

Management CommitteeRisk Management Committee

Chief Executive Office Compliance & Audit Risk Management

Advisory Board Board of Director Audit Committee

Complaints Review Committee

Management Committee Investment Committee

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Mr.Saringkarn Sutaschuto

Chief Executive Officer

Marketing Div., Brokerage Business

Mr. Chayant Akrathit

Executive Director

Mr. Prajuab Siriratbunkajorn

Executive Director

Ms. Chayanee Pokun-Ngern

Executive Director

Investment Banking Div.

Research Div.

Mr. Paitoon Thamrongkittikul

Executive Director

Mr. Warut Sivasariyanon

Managing Director

Mr. Korn Chotjiraphat

Executive Director

Ms. Chanya Rattanaprapakul

Managing Director

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• Asia Wealth Securities (AWS) officially started securities trading business in Q4 /2013 with a

market share of 0.1% and continued to grow until now. In Q2/2017, AWS had a market share

of 4.11%, ranked # 9 among 36 brokers.

0.1

0.91

2.89 3.06 2.98 3.053.35

3.584.04 4.00

3.72

2.61

2.05 2.21

4.11

00.5

11.5

22.5

33.5

44.5

Market Share (Equity) (%) : Quarterly basis since Q4/2013 to Q2/2017

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• Asia Wealth Securities (AWS) officially started TFEX trading business in Q4 /2013. In

Q2/2017, AWS had a market share of 2.68%, ranked # 13 among 44 brokers.

0

1.58

2.83

2.17

1.451.66 1.59

1.09 1.15

1.711.92

2.44

1.6

2.77 2.68

0

0.5

1

1.5

2

2.5

3

Market Share (TFEX) (%) : Quarterly basis since Q4/2013 to Q2/2017

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Lead underwriter for Initial Public Offering (IPO)

• Raja Ferry Port PCL (RP) on the mai

Co-underwriters for Initial Public Offering (IPO)

• Salee Printing PCL. (SLP)

• N.D. Rubber PCL. (NDR)

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Co-Underwriters for Initial Public Offering (IPO)

• ALT Telecom PCL. (ALT) on the SET

• Megachem (Thailand) PCL. (MGT) on the mai

Co-Lead Underwriter for Initial Public Offering (IPO)

• Eastern Technical Engineering PCL. (ETE) on the mai

• Besides, we have been appointed as the Financial Advisor of at least

15 companies in Construction Materials and Telecom sectors to

prepare for listing on the SET and mai.

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Securities and

Derivatives Trading

SBL

Online securities & TFEX

trading

Research reports

Wealth Management Mutual funds

Private fund

IB / FA

Debentures and B/E

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• Historical information service from SET (for the past 5 years)

• Online news and information of stocks and derivative

investment for fundamental analysis

• Online news and information of stocks and graph for

technical analysis

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Free services for our valuable clients

Easy login with “Single Sign on”

Simply register for our online service at

www.asiawealth.co.th

Save 2,000 ฿ / year

Save 10,000 ฿ / year

Save 8,640 ฿/year

• Support for SET trading through Windows and Smart Phone

• Support for SET and TFEX trading through Windows, Mac, and

Smart Phone

• Support for SET and TFEX trading through Windows

iTrade

Alternative Trading program

• TFEX has launched nine types of derivative products (Futures with 8 underlying assets and

Options with one underlying).

17Source: TFEX.co.th

• We provide securities and TFEX online trading through our “ ” service.

• We have real-time trading systems through various programs.

• We have investment support programs for your investment analysis and decision.

• We have alternative channels for you to contact us via our website & social media.

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iClick Aws www.aws.co.th Asia Wealth Securities Channel

iTrade

www.asiawealth.co.th

Securities borrowing and lending (SBL)

The transfer of securities during the period from one lender to the borrower. The

borrower agrees to transfer the securities back to the lender on the due date of the

contract. To prevent the risk of the borrower being unable to deliver the securities

lending fee, the borrower has agreed to transfer collateral to the lender. This could be

either cash or securities.

Increased investment opportunity during volatile market and market downtrend

SBL is an alternative service for investors with high risk but it can enhance

opportunities for investors to receive a higher return.

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• We are ready to enhance your investment decisions with our fundamental and

technical research reports written by our highly experienced research team.

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Daily Market Outlook

Strategy Report

Technical Express Report

Derivative Index Futures Report

Company Report

Sector Report

Market Monitor

Research

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Investment Consultant For high net worth individuals and corporate clients

Portfolio Management Through our multi-investment tools

Portfolio SolutionFor your portfolio adjustment

Life Cycle Solution For your individual lifestyle

Asset Allocation Based on your investment theme with your core portfolio and satellite portfolio

• We have mutual funds services through our affiliate, Asia Wealth Fund

Management (AWAM), which is the selling agent of mutual funds for 18 fund

management companies.

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• Private Fund is a type of privilege investment that allows investors to allocate their

wealth privately or participate in investment policy decisions according to their

objectives, conditions and limitations of interest. Investors will receive close

assistance from the specialist that will design an appropriate portfolio and plan a

flexible strategy to suit changes in the market for any situation, in order to meet the

needs of the investor and maximize their wealth under acceptable risks and

regulations of the Securities and Exchange Commission (SEC).

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Initial Public

Offering (IPO)

Debt Financing /

Debt

RestructuringPrivate

Placement

(Listed and Non-

listed Companies

Merger &

Acquisition (M&A)

Joint Venture (JV)

(Listed and Non-

listed Companies)

REIT

Infrastructure

Fund

Backdoor Listing /

Reverse Takeover

• We provide good quality debentures and B/E for our clients

through our selection process with our Wealth Research & Design

team, Wealth Committee, and Risk Committee.

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540, 7th , 14th, 17th Floor Mercury Tower

Ploenchit Road, Pathumwan, Bangkok 10120

Asia Wealth Call Center +66 2680-5000

www.asiawealth.co.th26