Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

SEC’s website at www.sec.or.th and SEC Check First application. Additionally, the list of individuals or entities not regulated by the SEC is available at the Investor Alert Section on the SEC’s website

of the Bureau of Financial-Banking Crimes and Money Laundering, to discuss the developments of the legal proceedings in this case. “The SEC always places high importance on legal enforcement and

operating the digital asset dealer business under Section 3 of the Emergency Decree on Digital Asset Businesses without license in violation of Section 26 and subject to the penalties under Section 66 of the

Bangkok, 2 December 2016 ? The Criminal Fining Committee has imposed fines on Mr. Assavin Chingumtornvong, a former chief executive officer of Thai Industrial & Engineering Services Public Company

Bangkok, 27 July 2017 ? The SEC has refused to grant Energy Earth Public Company Limited (EARTH) an extended deadline for submitting the special audit report which was due on 24 July 2017, and urged

Bangkok, November 18, 2010 ? The Settlement Committee imposed a fine of 333,333.33 baht on Kajonchai Ngamvorarojsakul for aiding or abetting the manipulation of Focus Development and Construction Plc

normal market condition became affected during 9 January - 28 February 2013.Such offences were in violation of Section 243 of the Securities and Exchange Act of 1992 (SEA) in conjunction with Section 83

name of Benson Dupont Capital Management.On August 26, 2001, the SEC filed a criminal complaint against Ravi Pattiyawongse, Tyler Terrel Wasser and Patrick De Souza on the charge of an operating

control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code