Phra Suthep Arpassaro (Panpai) During November 2009 to March 2011, Phra Suthep Arpassaro (Panpai) colluded with and Ms. Sopana Janeborvorn and Mrs. Vachala Pisitsak in committing dishonest acts by

PT Millenniun Penata Futures PT Millenniun Penata Futures colluded with Mr. Artipan Thongjan in operating derivatives business without license or registration with the SEC in violation of Section

Mr. Artipan Thongjan Mr. Artipan Thongjan colluded with PT Millenniun Penata Futures in operating derivatives business without license or registration with the SEC in violation of Section 16 of

Ascot Global Trading Limited Ascot Global Trading Limited operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003

J.R.A Business Center Co.,LTD J.R.A. Business Center Co.,LTD operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546

financial statements for Q1/2012 to the SEC and the SET within the specified period. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 27/09/2012

. . SEC Act S.199 in conjunction with 56(1)(2)(3)(4) Criminal Complaint Filed with an Inquiry Official Dated 27/09/2012

-month period ended June 30, 2012 to the SEC and the SET within the specified period. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 12/12/2012

S.56 and 199 Criminal Complaint Filed with an Inquiry Official Dated 12/12/2012

. SEC Act S.56 and 199 Criminal Complaint Filed with an Inquiry Official Dated 25/03/2013