Mr. Uchai Vilailerstpoca On December 1, 2014, Mr. Uchai Vilailerstpoca acquired shares of Ocean Commerce Public Company Limited (OCEAN) which caused his aggregated holding of OCEAN shares to reach or

of Business Development, the Ministry of Commerce, Nittimon’s action was in violation of Section 33, Section 102 and Section 105 of the Public Companies Act of 1992, which do not give chairman of

Mr. Uchai Vilailerstpoca On December 1, 2014, Mr. Uchai Vilailerstpoca acquired shares of Ocean Commerce Public Company Limited (OCEAN) which caused his aggregated holding of OCEAN shares to exceed

J.R.A Business Center Co.,LTD J.R.A. Business Center Co.,LTD operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546

provided the collection and assessment of customer information (Know Your Customer / Customer Due Diligence) (KYC/CDD) systems for Satang to operate its business in accordance with relevant laws, regulations

procedures as specified in the notification of the Capital Market Supervisory Board by engaging in any other business which is not a licensed securities business without the Capital Market Supervisory Board’s

Mr. Kasemsak Sirisreesornchai Mr. Kasemsak Sirisreesornchai, a director responsible for the operation of J.R.A. Business Center Co.,LTD, operated derivatives business without license or

provided in the Office?s electronic work system to all shareholders of business within the period specified in the notification. However, a copy of such opinion were later delivered to all shareholders of

WAS BUSINESS COMPANY LIMITED WAS BUSINESS COMPANY LIMITED ("WAS") failed to prepare and submit the result of the crowdfunding debentures sale report to the SEC Office within 25 October

business operation vaguely. As a result, Finnomena shall not provide business continuously. Moreover, Finnomena did not notify outsourcing function to the SEC Office. SEC Act S.113 Settlement Committee