Mr.Calvin C. Mr.Calvin C., as the Director responsible for the operation of Siam Grander Management Co., Ltd., jointly with other alleged persons, operated derivatives broker businesses in Thailand

Mr.Phanit Mr.Phanit (surname not available), jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses

Mr.Thanapol Mr.Thanapol (surname not available), jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses

Mr.Prasert Mr.Prasert (surname not available), jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses

financial statements for Q1/2013 and Q2/2013 to the SEC and the SET within the specified period. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 08/10/2013

. This case is preclude by prescription. SEC Act S.56 and 199 Criminal Complaint Filed with an Inquiry Official Dated 08/10/2013

limitations ran out during consideration of inquiry offercial. SEC Act S.199 in conjunction with 56(4) Criminal Complaint Filed with an Inquiry Official Dated 16/10/2013

period ended June 30, 2013 to the SEC and the SET within the specified period. A statute of limitations ran out during consideration of inquiry offercial. SEC Act S.300 Criminal Complaint Filed with an

173,750 and a further fine of Baht 1,500 each day starting from the next day of prosecution date until the company so complies. SEC Act S.300 in conjunction with 56(1) Criminal Complaint Filed with an

year 2012 (Form 56-1) to the SEC and the SET within the specified period. SEC Act S.56 and 199 Criminal Complaint Filed with an Inquiry Official Dated 31/10/2013