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

Bill Trade Co.,Ltd. Between 10 February and 23 April 2003, Bill Trade Co.,Ltd. with other alleged persons operated securities brokerage businesses, soliciting clients to invest in securities listed

Mrs. Pimpa Chivapornthip Between April 2, 2007 and October 9, 2007, Mrs. Pimpa Chivapornthip colluded or agreed with Mr. Nophadol Arayakul to trade securities of Salee Industry Public Company Limited

Mr. Nophadol Arayakul Between April 2, 2007 and October 9, 2007, Mr. Nophadol Arayakul colluded or agreed with Mrs. Pimpa Chivapornthip to trade securities of Salee Industry Public Company Limited

Mr. KAMOL IEOSIVIKUL Between August 22, 2008 and February 27, 2009, Mr. Kamol Ieosivikul colluded or agreed with another person to trade securities of Subsrithai Storage Public Company Limited (SST

Mr. Sermkiat Kangsathein Between 11.53.47 A.M. to 12.06.37 P.M. on October 3, 2012, Mr. Sermkiat Kangsathein colluded or agreed with other persons by using his and others’ trading accounts to trade

Mr. Wichian Ursiripant Between 11.53.47 A.M. to 12.06.37 P.M. on October 3, 2012, Mr. Wichian Ursiripant colluded or agreed with other persons by using his and others’ trading accounts to trade

Mr. Pratheep Wongkulnit Between 11.53.47 A.M. to 12.06.37 P.M. on October 3, 2012, Mr. Pratheep Wongkulnit colluded or agreed with other persons by using his and others’ trading accounts to trade

Mr. Prapat Itthichaisri Between 11.53.47 A.M. to 12.06.37 P.M. on October 3, 2012, Mr. Prapat Itthichaisri aided and abetted other persons to trade securities of Thai Plastic and Chemicals Pubic

Miss Nattida Ruckchposanti Between 11.53.47 A.M. to 12.06.37 P.M. on October 3, 2012, Miss Nattida Ruckchposanti aided and abetted other persons to trade securities of Thai Plastic and Chemicals