MR. AKARAT VANARAT - for more details please see SEC news No. SEC Act (the fifth amendment) Section 244/3 in conjunction with 244/5 in conjunction with Section 83 of the Penal Code Civil Action

MR. NATTHAWAT PIBOONTHANAAMORN - for more details please see SEC news No. SEC Act (the fifth amendment) Section 244/3 (1)(2) in conjunction with Section 315 Civil Action Dated 00/00/0000

Operator หรือ ตัวแทน (“local representative”) ซ่ึงเป็น ผู้ยื่นค าขอตรวจสอบลักษณะหนว่ยของ ASEAN CIS ในประเทศไทย (“ผู้ยื่นค าขอฯ”) จะต้องระบจุ านวนเงนิทีจ่ะ เสนอขายในประเทศไทยเป็นสกลุเงินบาท และระบุช่ือ ผู้รับ

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

) related party of a fund which https://publish.sec.or.th/nrs/5883pe.doc Translation organization or a local government organization, the Financial Institutions Development Fund and the Bureau of the Crown

a fund which https://publish.sec.or.th/nrs/5883pe.doc Translation organization or a local government organization, the Financial Institutions Development Fund and the Bureau of the Crown Property that

established under the law of Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand ( issued by

established under the law of Home Regulator’s jurisdiction (issued by Home Regulator) [ ] 3. Evidence on the appointment of a securities company to perform duty as local intermediary in Thailand (issued by CIS

), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125 respectively. This case is in the process of inquiry by

Collective Investment Scheme _____________________________ By virtue of Section 19(3) of the Securities and Exchange Act B.E. 2535 (1992), as amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008