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

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

Krungthai Zmico Securities Company Limited which Ms. Uraiwan gave Mr. Telaphon an authority to trade securities in those securitites accounts on behalf of Ms. Uraiwan and Mr. Telapon’s 2 securities accounts

Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such

Ascot Global Trading Limited Ascot Global Trading Limited operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003

Mr. Surasak Chuntori On August 22, 2012, Mr. Surasak Chuntori purchased 75,000 ordinary shares of Siam Global House Public Company Limited (“GLOBAL”) through the securities trading account of Mr

Mr. Ekkamon Chuntori On August 22, 2012, Mr. Ekkamon Chuntori aided and abetted Mr. Surasak Chuntori in purchasing 75,000 ordinary shares of Siam Global House Public Company Limited (“GLOBAL

warrants of Siam Global House Public Company Limited (“GLOBAL”) through the securities trading accounts of four persons and clearing such transactions for Mr. Witoon’s benefits in such a way that taking

Mr. Apilas Suriyavanakul During August 6 - 15, 2012, Mr. Apilas Suriyavanakul aided and abetted Mr. Witoon Suriyawanakul in purchasing 1,677,881 ordinary shares of Siam Global House Public Company

Global Consultant Company Limited Global Consultant Company Limited (“Global”) colluded with the other alleged offender in operating securities businesses of brokerage. Furthermore, Global used