the credit was not rated and found defects in consideration of important information or factors with respect to the issuer, and this affected its capability to repay the principal and pay interest

systems related to receiving and handling complaints, channels to communicate with customers as well as the number and ability of personnel for Bitkub to operate its business efficiently. DAB Act S.30

of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3

February 17, 2014. The financial statements did not comply with the Accounting Standard. That is, the company realized the gain from selling the capital investment in its subsidiary and booked in the

Profit Gain Asia Ltd. Between April 10 to 28 August , 2014 Profit Gain Asia Ltd. (“PFAL”) , fail to reported the disposal of Natural Park Public Company (“N-PARK”) which changed its name to U City

Mr. Eric Jordan or Mr. Eric Jack Jordan Mr. Eric Jordan or Mr. Eric Jack Jordan as director of Professional Portfolio International Ltd. (PPI) and personal capacity colluded with other alleged

million baht in comparison with the net loss of 30.80 million baht in the previous quarter. Mr. Paiboon used such material non-public information to gain unfair benefits over other persons by virtue of his

which significantly increased from previous year Baht 270.61 million, an increase of 220.78 percent. Mr. Ratanachai used such material non-public information to gain unfair benefits over other persons by

front run his client’s futures trading orders. Such trading orders made through Ms.Nanthanat Srisawangwong at another broker for his personal gain. This action caused financial damages to his clients

. Witoon used such non-public information material to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. SEC Act S.241 Settlement Committee