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
sanctions under Section 289. This case is in the process of inquiry by the inquiry official. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 09/04/2014
), Section 16 and subject to sanctions under Section 125. The public prosecutor ordered a non-prosecution order. DV Act S.Section 16 Criminal Complaint Filed with an Inquiry Official Dated 16/08/2017
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
increasing shall be calculated in the shareholder’s equity of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records
shareholder’s equity of the securities company. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities
after the issuance of the latest financial statement, such increasing shall be calculated in the shareholder’s equity of the securities company. (3) not being incriminated or prosecuted under the criminal
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