Derivative Warrants | TICO06C1511A | DERIVATIVE CALL WARRANTS ON TICON INDUSTRIAL CONNECTION PUBLIC COMPANY LIMITED ISSUED BY PHATRA SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN NOVEMBER 2015

Derivative Warrants | TICO42C1506A | DERIVATIVE CALL WARRANTS ON TICON INDUSTRIAL CONNECTION PUBLIC COMPANY LIMITED ISSUED BY MAYBANK KIM ENG SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST TRADING

Derivative Warrants | TICO01C1505A | DERIVATIVE CALL WARRANTS ON TICON INDUSTRIAL CONNECTION PUBLIC COMPANY LIMITED ISSUED BY BUALUANG SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN MAY 2015 # A

Derivative Warrants | TICO42C1411A | DERIVATIVE CALL WARRANTS ON TICON INDUSTRIAL CONNECTION PUBLIC COMPANY LIMITED ISSUED BY MAYBANK KIM ENG SECURITIES (THAILAND) PUBLIC COMPANY LIMITED LAST TRADING

Derivative Warrants | TICO23C1505A | DERIVATIVE CALL WARRANTS ON TICON INDUSTRIAL CONNECTION PUBLIC COMPANY LIMITED ISSUED BY SCB SECURITIES COMPANY LIMITED LAST TRADING IN MAY 2015 # A | Stock in

Derivative Warrants | TICO01C1501A | DERIVATIVE CALL WARRANTS ON TICON INDUSTRIAL CONNECTION PUBLIC COMPANY LIMITED ISSUED BY BUALUANG SECURITIES PUBLIC COMPANY LIMITED LAST TRADING IN JANUARY 2015

An unspecified person Destruction of the seals the competent officers made on the seized assets in connection with "Antella Investment". SEC Act S.304 Criminal Complaint Filed with an

Mr. James  Gray Removal of the assets seized by the competent officers through execution of their duties in connection with "Antella Investment Inc.". SEC Act S.305 Criminal Complaint

REGULATORS 1. Maintenance of records 2. Scheduled or surprise audits involving site visits to firm headquarters 3. Follow-up investigations for complaints BUT DOES NOT ADJUDICATE 4. Issue sanctions

Gap 8 g Investor Return Gap = Asset Weighted Investor Return – Average Total Return /Study on U.S. domiciled funds Source: Morningstar Direct Mind the Gap 9 gRecent study in 2014 /Surprise! The Investor