Mrs. Chatkaew Gajaseni Mrs. Chatkaew Gajaseni, while being director and executive director of PTG Energy Public Company Limited (PTG), knew or possessed negative substantial inside information about

UOB Asset Management (Thailand) Company Limited UOB Asset Management (Thailand) Company Limited, a fund management company, disclose investment information which is failed to comply with the rules

trading account of Another person in such a way as to take advantage of other persons by using positive material non- public information concerning RPC investment inSammakorn Public Company Limited (SAMCO

information statement for the year 2018 (Form 56-1) in accordance with the notification of the Capital Market Supervisory Board. However, CEN prepared and submitted the inaccurate annual updated information

Mr. Tharathon Phiboonthammasak Mr. Tharathon Phiboonthammasak knew or possessed negative substantial inside information about PTG Energy Public Company Limited (PTG) Q3/2018 performance which would

(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee

General Chaowarit On 2 August 2019, PP Prime Public Company Limited (“PPPM”) published information through the Stock Exchange of Thailand’s ELCID (Electronic Company Information Disclosure) system

Mr. Praween Deekajonedej On 2 August 2019, PP Prime Public Company Limited (“PPPM”) published information through the Stock Exchange of Thailand’s ELCID (Electronic Company Information Disclosure

Miss PhatcharadaJutaprateep On 2 August 2019, PP Prime Public Company Limited (“PPPM”) published information through the Stock Exchange of Thailand’s ELCID (Electronic Company Information Disclosure

Mrs. Kanokwan Wannabuit On 2 August 2019, PP Prime Public Company Limited (“PPPM”) published information through the Stock Exchange of Thailand’s ELCID (Electronic Company Information Disclosure