Mr. Wasan Kiewkao Mr. Wasan Kiewkao conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives

using information about the funds’ investment plans to trade securities for his personal or other persons’ gains (front running). The criminal case is closed because the alleged offender died. SEC Act

Mr.Phanit Mr.Phanit (surname not available), jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses

Mr.Thanapol Mr.Thanapol (surname not available), jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses

Mr.Prasert Mr.Prasert (surname not available), jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses

Devere & Partners (Thailand) Ltd. Devere & Partners (Thailand) Ltd. colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license

Mr. Fredrick Ian McIntyre Mr. Fredrick Ian McIntyre colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in

prosecution order against the alleged offender; however, the alleged offender escaped and an arrest warrant was issued to bring the alleged offender to trial. SEC Act S.314 in conjunction with 307 311 312

. The public prosecutor issued a prosecution order; however, the alleged offender has evaded the arrest and has been pursued for case proceedings. SEC Act S.307 308 311 Criminal Complaint Filed with an

Bill Trade Co.,Ltd. Between 10 February and 23 April 2003, Bill Trade Co.,Ltd. with other alleged persons operated securities brokerage businesses, soliciting clients to invest in securities listed