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

Devere & Partners (Thailand) Ltd. Devere & Partners (Thailand) Ltd. colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license

Lederer (Thailand) Company Limited Lederer (Thailand) Company Limited by authorized director Kanyakorn Supakarnkachareon, had solicited the public to make an investment at the minimum amount of

baht solar power plant project of The Bangchak Petroleum Public Company Limited that he obtained by attending the negotiation, before such information became public. SEC Act S.241 Settlement Committee

with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90

Miss Kanyakorn Supakarnkacharoen Miss Kanyakorn Supakarnkachareon, the authorized director of Lederer (Thailand) Company Limited, had solicited the public to make an investment at the minimum amount

Antella Investment Inc. Between 1997 and 2000, Antella Investment Inc. operated securities brokerage businesses, soliciting foreign clients to invest in securities, in Thailand under the name of

Mr. Richard Dunston Malpass Mr. Richard Dunston Malpass (“Mr. Malpass”), resided in Thailand, solicited foreign investors to make investment in mutual fund based on his advice for the sake of tax

UOB Asset Management (Thailand) Company Limited UOB Asset Management (Thailand) Company Limited, a fund management company, disclose investment information which is failed to comply with the rules