to issue a prison sentences for 1st and 3rd defendants. SEC Act S.243(1)(2) in conjunction with 244 and Section 86 of the Penal Code Criminal Complaint Filed with an Inquiry Official Dated 30/01/2012

submit the reviewed financial statements for Q3/2011 to the SEC and the SET within the specified period. SEC Act S.56(1) in conjunction with 199 Criminal Complaint Filed with an Inquiry Official

period. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 21/03/2012

Mr. Somsak Turapun Mr. Somsak Turapun failed to comply with the competent officer's order. This case is in the process of inquiry by the inquiry official. SEC Act S.303 Criminal Complaint

Mr. Kiatchai Kitcharoenwanitkun Mr. Kiatchai Kitcharoenwanitkun failed to comply with the competent officer's order. This case is in the process of inquiry by the inquiry official. SEC Act

Mr. Narong Puangpong Mr. Narong Puangpong failed to comply with the competent officer's order. This case is in the process of inquiry by the inquiry official. SEC Act S.303 Criminal Complaint

consideration of the Court of First Instance. DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 11/09/2012

was deemed undertaking derivatives business without license in contravention of Section 16 of the Derivatives Act B.E. 2546 (2003). This case is in the process of inquiry by the inquiry official. DV

case is in the process of inquiry by the inquiry official. DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 11/09/2012

statute of limitations ran out. SEC Act S.56 and 199 Criminal Complaint Filed with an Inquiry Official Dated 09/11/2012