Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets

WSD Financial (NZ) Ltd. WSD Financial (NZ) Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343 of the Penal Code

Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment Advisory or an Undertaking of

Which Are Not Deemed an Undertaking of Securities Business

Which Are Not Deemed an Undertaking of Derivatives Busin

Not Deemed An Undertaking of Derivatives Exchange and ...

Mr. SomChai Kurujitkosol The public prosecutor issued a non-prosecution order. The case was deemed final. SEC Act S.287 Criminal Complaint Filed with an Inquiry Official Dated 17/06/2009

World Trading Prosperity Co., Ltd. World Trading Prosperity Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section

company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal

. Later, she took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal Code. The public prosecutor issued a non-prosecution order