Mr. Pisanu Boonard Mr. Pisanu Boonard conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives

Miss Manassanun Piyapongpan Miss Manassanun Piyapongpan conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16

Miss Indhira Suebsang Miss Indhira Suebsang conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the

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

, Chupong was deemed to have performed duties dishonestly. In this regard, Chupong, were deemed to have committed offences in violation Section 311 of the Securities and Exchange Act of 1992 (SEA), and

Mr. Robert Edward Jowett Mr. Robert Edward Jowett as the director responsible for the operation of Data Resources Asia Co., Ltd. violated Section 301. The public prosecutor issued a prosecution order

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

of Section 343 of the Penal Code. This case is under consideration of the public prosecutor. DV Act S.343 of the Penal Code Criminal Complaint Filed with an Inquiry Official Dated 18/12/2009