Mr. Yuttana Lipirodkul Mr. Yuttana Lipirodkul operated securities and derivatives businesses without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992

advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions

advisory and private fund management by advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535

person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289

without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. This case is in the process of inquiry by the

audited financial statements for the year 2016, the annual registration statement for the year 2016 (Form 56-1) and the annual report for the year 2016 (Form 56-2) to the SEC Office and the Stock Exchange

to the Stock Exchange of Thailand and the SEC Office on May 16 and 17 2016, respectively. The financial statements did not comply with the notification of the Capital Market Supervisory Board. The

the Stock Exchange of Thailand and the SEC Office within the period specified in the notification. However, the Form 56-1 for the year 2016 were later filed with the SET and the SEC Office on September

Asian Insulators Public Company Limited Asian Insulators Public Company Limited (“AI”), a securities issuer, failed to submit the reviewed financial statements for Q3/2016 to the Stock Exchange of

AI Energy Public Company Limited AI Energy Public Company Limited (“AIE”), a securities issuer, failed to submit the reviewed financial statements for Q3/2016 to the Stock Exchange of Thailand and