punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to

N.A.T. (Thailand) Company Limited N.A.T. (Thailand) Company Limited (N.A.T.) operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003

Mr. Teerayut Hemput Mr. Teerayut Hemput operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions

PT Millenniun Penata Futures PT Millenniun Penata Futures colluded with Mr. Artipan Thongjan in operating derivatives business without license or registration with the SEC in violation of Section

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

J.R.A Business Center Co.,LTD J.R.A. Business Center Co.,LTD operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546

registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 20/02/2013

violation of Section 16 of the Derivatives Act B.E.2546 (2003). This case is under consideration of the public prosecutor. DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 25/06/2009

WSD Financial (NZ) Ltd. WSD Financial (NZ) Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343 of the Penal Code

Mr. Suwat Eiewaksorn Mr. Suwat Eiewaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation