Determination of Fees for Undertaking Businesses According to Licenses

Notification of the Securities and Exchange Commission KorThor 17/2560 Rules, Conditions and Procedures for Applying for Licenses and Granting Licenses for Operating Securities Clearing House

Determination of Other Financial Institutions Applying for Securities Business Licenses pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertakin

Mr. James Gray Mr. James Gray, the management responsible for Antella Investment Inc., operated securities brokerage businesses without proper licenses granted. SEC Act S.301 Criminal Complaint

Determination of Other Financial Institutions Eligible to Apply for Securities Business Licenses Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities

authorizations for a long time for a high volume of securities and derivatives trading, which caused a great amount of damage to the client. In addition, she misinformed the client with regard to the amount of

days (within 14 August 2018) to continue their businesses until an order to cease their businesses is given.As of 14 August 2018, these seven existing businesses seeking operating licenses, in line

"Antella Investment" without proper licenses granted. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 05/06/2001

Mr. Suwat Eiewaksorn Mr. Suwat Eiewaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a

Glory Prosperity (Thailand) Co., Ltd. Glory Prosperity (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted