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

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

. Such action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 25/06/2009

action was deemed a violation of Section 16 of the Derivatives Act B.E.2546 (2003). DV Act S.16 Criminal Complaint Filed with an Inquiry Official Dated 25/06/2009

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

Mr. Artipan Thongjan Mr. Artipan Thongjan colluded with PT Millenniun Penata Futures in operating derivatives business without license or registration with the SEC in violation of Section 16 of

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