Mr. Kris Narongdej Mr. Kris Narongdej failed to comply with rules specified by Securities and Exchange Commission on January 21, 2014, Mr. Kris Narongdej acquired shares of NOBLE shares held by

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

Mr. Kris Narongdej Mr. Kris Narongdej failed to report the acquisition or disposal of NOBLE shares to the SEC Office within the period specified in the notification of the Capital Market

other persons by using negative material non- public information concerning BLA’s operating net profit decrease in Q2/2014 of 168.79 million baht which significantly fell from the operating net profit of

structure, operating systems, and personnel for conducting business in accordance with the rules, procedures, and conditions prescribed by the Securities and Exchange Commission. DAB Act S.30 Settlement

service in the normal course of business outside the digital asset exchanges. The action constitutes operating digital asset dealing business without a license. This case is in the process of inquiry by the

as offering such service in the normal course of business outside the digital asset exchanges. The action constitutes operating digital asset dealing business without a license. This case is in the

offering such service in the normal course of business outside the digital asset exchanges. The action constitutes operating digital asset dealing business without a license. This case is in the process of

Devere & Partners (Thailand) Ltd. Devere & Partners (Thailand) Ltd. colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license

Mr. Fredrick Ian McIntyre Mr. Fredrick Ian McIntyre colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in