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

February 17, 2014. The financial statements did not comply with the Accounting Standard. That is, the company realized the gain from selling the capital investment in its subsidiary and booked in the

Profit Gain Asia Ltd. Between April 10 to 28 August , 2014 Profit Gain Asia Ltd. (“PFAL”) , fail to reported the disposal of Natural Park Public Company (“N-PARK”) which changed its name to U City

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

million baht in comparison with the net loss of 30.80 million baht in the previous quarter. Mr. Paiboon used such material non-public information to gain unfair benefits over other persons by virtue of his

which significantly increased from previous year Baht 270.61 million, an increase of 220.78 percent. Mr. Ratanachai used such material non-public information to gain unfair benefits over other persons by

front run his client’s futures trading orders. Such trading orders made through Ms.Nanthanat Srisawangwong at another broker for his personal gain. This action caused financial damages to his clients

. Witoon used such non-public information material to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. SEC Act S.241 Settlement Committee

Limited, a wholly owned subsidiary of the Siam Cement Public Company Limited to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. SEC Act

Siam Cement Public Company Limited to gain unfair benefits over other persons by virtue of his position as a chairman of management committee of GLOBAL. SEC Act S.241 in conjunction with Section 86 of