Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertakin

Mr. James Gray Mr. James Gray, the management responsible for Antella Investment Inc., operated securities brokerage businesses without proper licenses granted. SEC Act S.301 Criminal Complaint

Determination of Other Financial Institutions Eligible to Apply for Securities Business Licenses Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities

days (within 14 August 2018) to continue their businesses until an order to cease their businesses is given.As of 14 August 2018, these seven existing businesses seeking operating licenses, in line

"Antella Investment" without proper licenses granted. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 05/06/2001

Mr. Suwat Eiewaksorn Mr. Suwat Eiewaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a

Glory Prosperity (Thailand) Co., Ltd. Glory Prosperity (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted

World Trading Prosperity Co., Ltd. World Trading Prosperity Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such

Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343

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