baht solar power plant project of The Bangchak Petroleum Public Company Limited that he obtained by attending the negotiation, before such information became public. SEC Act S.241 Settlement Committee

accounts: Miss Uraiwan’s 6 securities accounts of Country Group Securities Public Company Limited, KGI Securities (Thailand) PCL., KTBST Securities Public Company Limited (“KTBST Securities”), Finansia Syrus

Mr. Telapon Sinchai During 7 July 2020 – 2 November 2020 Mr. Telapon Sinchai and Ms. Uraiwan Sae-lee colluded to manipulate the price of Multibax Public Company Limited (“MBAX”) share by placing a

granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, WSD International (Thailand) Co., Ltd. claimed to be legitimate licensee of derivatives business in Thailand , in fact WSD

Mr. Wutichai Leenabanchong During 2016, 3 directors and executives of Ua Withya Public Company Limited ("UWC"), namely: (1) Mr. Wutichai Leenabanchong, (2) Mr. Peratus Dhanarachwattana and

Mr. Peratus Dhanarachwattana During 2016, 3 directors and executives of Ua Withya Public Company Limited ("UWC"), namely: (1) Mr. Wutichai Leenabanchong, (2) Mr. Peratus Dhanarachwattana

Mr. Monthon Chatuwallopkul During 2016, 3 directors and executives of Ua Withya Public Company Limited ("UWC"), namely: (1) Mr. Wutichai Leenabanchong, (2) Mr. Peratus Dhanarachwattana and

Mr. Manote Luengvoraphan During 2016, 3 directors and executives of Ua Withya Public Company Limited ("UWC"), namely: (1) Mr. Wutichai Leenabanchong, (2) Mr. Peratus Dhanarachwattana and (3

of the Derivatives Act B.E.2546 (2003). The public prosecutor issued a non-prosecution order. The case was deemed final. DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 23/06

Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343