Globalview Consulting Co.,Ltd. Globalview Consulting Co.,Ltd. colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management by

Mr. Ruangrit Pansiri Mr. Ruangrit Pansiri colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management by advertising

statute of limitations ran out. SEC Act S.56 and 199 Criminal Complaint Filed with an Inquiry Official Dated 31/03/2015

the juristic person representative failed and the statute of limitations ran out. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 31/03/2015

Mr. Arya Payungvivattanakul Mr. Arya Payungvivattanakul, director of Globalview Consulting Co.,Ltd, colluded with other alleged offenders in operating securities businesses of brokerage, investment

Ms. Aroonvadee Kittikasemsak Ms. Aroonvadee Kittikasemsak colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management by

500,000. Since the accused pled guilty, the Court reduced the fines by half, resulting in fine of Baht 250,000. SEC Act S.241 Criminal Complaint Filed with an Inquiry Official Dated 13/03/2015

position as a chief executive officer of TUCC. This case is in the process of the public prosecutor. SEC Act S.241 Criminal Complaint Filed with an Inquiry Official Dated 13/03/2015

Mr. Sornnon Sudtiastasilp Between March 18, 2008 and October 9, 2008, Mr. Sornnon Sudtiastasilp colluded or agreed with other persons to continuously trade shares of Thaiyuanmetal Pubic Company

Miss Naraporn Chuvessiriporn Between March 18, 2008 and October 9, 2008, Miss Naraporn Chuvessiriporn colluded or agreed with other persons to continuously trade shares of Thaiyuanmetal Pubic Company