amounts of the interests were recorded as income in the GLH’s financial statements, which was considered fabrication of accounting records and exaggeration of GL operating results. Mr. Konoshita’s

another person’s securities trading account in such a way as to take advantage of other persons by using material non-public information relating to the performance of IT. IT’s net profit of the year 2012

) through another person’s securities trading account. The buying was based on material non-public information concerning ESTAR’s net profit at the end of year 2013. The net profit was Baht 148.04 million

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

Renaissance Fund Management LTD Renaissance Fund Management LTD failed to prepare the balance sheet and the profit and loss account for the first six months of the financial year 2019 by posted in a

profit in the last three years. SEC Act S.241 Settlement Committee Meeting No. 4/2013 Settlement Committee Order No. 35/2013 Dated 20/06/2013

's profit. 12/05/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of 333,333.33 Baht

Miss Sarunya Khemtong Allow Mr. Yinganan to use her account for buy SSPF securities by using his money to purchase . After selling , she transfers money for Mr. Yinganan's profit 12/05/2017

using material non- public information for Mr.Suwat's profit. 12/06/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :    

profit decrease in Q2/2014 of 168.79 million baht which significantly fell from the operating net profit of Q1/2014 by 84.60 percent (a decrease of 1,096.04 million baht). He obtained the material non