Mr. Chairat Chantapakdee Mr. Chairat Chantapakdee conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the

Mr. Adisak Daengkomain Mr. Adisak Daengkomain conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the

Mrs. Praweena Sodawong Mrs. Praweena Sodawong conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the

Mr. Warakom Homtuanlom Mr. Warakom Homtuanlom conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the

Facebook account named "Japhoon", in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003

).................................., the details of which shall be presented as follows: Client Name Industry Section Names of auditors Audit firm Network firm Signing on auditor’s report Engagement quality control Audit fee Non-audit

. (UNOFFICIAL TRANSLATION) (Revision 2015) Table of Contents Page 1. Audit Firm profile 1 2. Network firms of the Audit Firm 4 3. Internal management of the Audit Firm 5 4. Inspection results on quality control

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 31. The provisions of this Division shall apply to derivatives agent licensed under Section 16. The SEC may, if appropriate, promulgate the

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 41. The provisions of this Division shall apply to any derivatives broker licensed under Section 16. The SEC may, if necessary, promulgate

Mr. Matthew Christensen Matthew Christensen operated derivatives business without obtaining license or registration from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and