Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to

voting rights of JAS which caused his aggregated holdings of JAS shares to exceed 50 percent. The amount of his holdings of JAS was a significant degree of control of JTS. However, Mr. Pete failed to

Kasikorn Securities Public Company Limited Kasikorn Securities Public Company Limited failed to prepare and submit the result of the structured note, underlied to PTT Exploration and Production

prepare and submit the result of the structured note, underlied to PTT Exploration and Production Public Company Limited ("PTTEP") sale report to the SEC Office within the period specified in the