Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a

procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4

another person’s securities trading account in such a way as to take advantage of other persons by using material non-public information relating to the performance of IT. IT’s net profit of the year 2012

sale newly issued securities in the category of of debt securities to high-net-worth investors on a program basis without providing its securities for credit rating prior to the offer for sale of the

Navista Global Markets Ltd. Navista Global Markets Ltd. (Navista) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The

GISP Ltd. GISP Ltd. (GISP) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The company contacted and solicited the public

Mr. Anurag Baheti Mr. Anurag Baheti, Senior Manager - Finance & Accounts of Polyplex (Thailand) Public Company Limited (“PTL”), knows the information on PTL’s performance in the consolidated and

performance to prove that the fund manager’s responsibilities for overseeing and managing the fund as required, This is not in accordance with the work system that notifies the office before requesting to start

PTG’s Q3/2018 performance which would significantly worsen through her securities trading accounts during 4 – 5 October 2018 prior to the disclosure of such inside information to the public on 8

PTG’s Q3/2018 performance which would significantly worsen through his securities trading accounts on 4 October 2018 prior to the disclosure of such inside information to the public on 8 November 2018