Company Investment Advisory Company Derivatives Brokerage Derivatives Dealing Commercial Bank Life Insurance Company Trustee foreign juristic person / organization under digital asset business Funding

allocated assets prior to others. These customers must not be individuals with a relationship to the derivatives broker in such manners as director, executive, major shareholder and controlling person of

registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). - The SEC filed a criminal complaint against the alleged offender together with the others. The inquiry official

Mr. Kanok Juntarachot Mr. Kanok Juntarachot, director of K.N.O. Marketing Co., Ltd., operated derivatives business without license or registration with the SEC in violation of Section 16 of the

Mr. Yongyuth Ngamkaiwan Mr. Yongyuth Ngamkaiwan, the person who is responsible for the operation of Thai Unique Coil Center Public Company Limited (TUCC), failed to supervise TUCC to prepare the

statements for Q2/2017 to the SEC and the SET within specified period. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives failed and the statute of

controlling person of SSNL who provides funding for SSNL’s tender offer of SSC shares, Mr. Narin Usanawarong certified the completion and accuracy of the information provided in Form 247-4. SEC Act S.300

Mr. Pairat Sampaothong Mr. Pairat Sampaothong aided and abeted other person selling the shares of Advance web service public company limited to the public without filing the registration statement

New City Public Company Limited (“BTNC”) shares held by itself, and person under section 258 resulting in SIRATARN aggregate number of shares held by other persons exceeded trigger point at 50 percent

(Thailand) Public Company Limited (“SANKO”) shares held by itself, and person under section 258 resulting in TIP aggregate number of shares held by other persons exceeded trigger point at 25 percent of the