S D Global S D Global 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

Seandar Inc. Seandar Inc. (or Seandar) 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

Mr. Thanawat Kiattisak Mr. Thanawat Kiattisak operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E. 2546 (2003

of NRI CIS: (more than one answer is possible) Equity Fund Fixed Income Fund Multi-Asset Strategy Fund Money Market Fund Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund Capital-Guaranteed

Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund Capital-Guaranteed Fund Any other type, please specify __________________________________________ 1 Legal entity refers to the legal form of Thai

violation of Section 315 of the Securities and Exchange Act B.E. 2535. On October 7, 2020, the Criminal Court sentenced the defendant to 10 years in prison. The defendant exercised the right to appeal. The

action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). This case is under consideration of the public prosecutor. DV Act S.16 Criminal Complaint Filed with an Inquiry

World Trading Prosperity Co., Ltd. World Trading Prosperity Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section

Act B.E.2546 (2003). In addition,the operation constituted public frauds and a violation of Section 343 of the Penal Code. DV Act S.16 and Section 343 of the Penal Code in conjunction with Section

Silver Line Trading Intertrade Co., Ltd. Silver Line Trading Intertrade Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the