overseen by experts, all aimed at creating an illusion of trustworthiness. In addition, the SEC continues to prevent investment scams in various manners, as follows:           (1) Posting on the

DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22

Q4/2009 with net loss in 403.74 million baht. He obtained the material non- public information by virtue of his positions before such information became public on May 17, 2010. SEC Act S.241

concerning the merger of BGH with Health Network Public Company Limited by means of entire business transfer during 2010 ? 2011. He obtained the material non- public information by virtue of his positions

material non-public information by virtue of his position as a director of MLINK. SEC Act S.241 Settlement Committee Meeting No. 6/2014 Settlement Committee Order No. 52/2014 Dated 21/05/2014

43.99 million which resulted in TUCC’s Baht 104.86 million loss in Q2/2011. Mr. Yongyuth also gained the benefit from his suggestion. He gained such material non-public information by virtue of his

million loss in Q2/2011. Miss Vorapin gained such material non-public information by virtue of her position as a chief finance officer of TUCC. Miss Vorapin failed to pay fines as ordered by the Settlement

rate of baht 0.94 per share which was higher than dividend paid in the last 5 years. He obtained the material non- public information by virtue of his positions before such information became public on

RPC interim dividend at the rate of baht 0.94 per share which was higher than dividend paid in the last 5 years. He obtained the material non- public information by virtue of his positions before such

reference. PAGE 2 Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9