2014 to the second quarter of 2016 of five EY clients which were listed companies to purchase securities of such companies while the clients’ draft financial statements were being recorded into the EY

Mr. Mitsuji Konoshita Mr. Konoshita ordered Group Lease Holding Co., Ltd. (GLH), a subsidiary of GL based in Singapore, to issue loans to several foreign companies. Evidence showed that GLH had

and entered into derivatives contracts whose underlyings were the securities price of such companies while the companies’ draft financial statements were being recorded in the EY information system

), misappropriated PPPC's money to invest in and pay off debts of the companies over which he had full control for his own benefit, causing damage to PPPC's property, violating Section 307, 308 & 311

Holding, causing damages to both companies. This case is in the process of inquiry by the special prosecutor official. SEC Act S.307 308 311 313 Criminal Complaint Filed with an Inquiry Official Dated 20

Holding, causing damages to both companies. This case is in the process of inquiry by the special prosecutor official. SEC Act S.307 308 311 in conjunction with 315 Criminal Complaint Filed with an

Mr. Sagha Sakulekpaisan During April 24 - May 2, 2008, Mr. Sagha Sakulekpaisan (formerly Chakchai (Thana) Sae Jiem, also known as “Here-Tee”) traded shares of three companies - Focus Development and

and receive allocated shares for patrons of such companies. The public prosecutor issued a non-prosecution order. The case was deemed final. SEC Act S.311, Section 315 and Section 89/7 in conjunction

allocated shares for patrons of such companies. The public prosecutor issued a non-prosecution order. The case was deemed final. SEC Act S.311, Section 315 and Section 89/7 in conjunction with Section 86

Miss Jeeraporn Buranaruk During 16 February 2017 – 12 July 2017, Miss Jeeraporn obtained or possessed inside information related to the operating results of three companies under the audit and