Mr. Teerayut Hemput Mr. Teerayut Hemput operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions

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

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

Seandar Inc. Seandar Inc. (or Seandar) 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

breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 2/2022 Settlement Committee Order No. 44/2022 Dated 28/02/2022

breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 5/2022 Settlement Committee Order No. 70/2022 Dated 05/05/2022

breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 5/2023 Settlement Committee Order No. 53/2023 Dated 18/05/2023

breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 5/2023 Settlement Committee Order No. 51/2023 Dated 18/05/2023

Office which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 6/2024 Settlement Committee Order No. 62/2024 Dated 27/08/2024

16 of the Derivatives Act B.E. 2546 (2003). This case is in the process of inquiry by the inquiry official. DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 20/02/2013