Bangkok, March 21, 2016 ? The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against EMM Consulting Co., Ltd., Alan Sydney Roy Lane and Ratanaporn Aoonta for operating securities business without license.

The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of EMM Consulting to use their services and investment advice to tranform his pension fund abroad into investment to gain tax benefits and long-term returns. The investor proceeded accordingly and suffered damage as a result.

EMM Consulting is located at 24, Prime Tower, 12th Floor, Room B-2, Sukhumvit 21 (Asoke) Road, Klong Toei Sub-district, Wattana District, Bangkok.

The said company and persons are not licensed to operate securities business in accordance with the Securities and Exchange Act of 1992. Their actions are in violation of Section 90 and liable to the penalties under Section 289, i.e., imprisonment for a term of 2 to 5 years and a fine from 200,000 to 500,000 baht, plus a daily fine of 10,000 baht until the violation ends.

The SEC, therefore, filed the criminal complaint against the three offenders with the ECD Police for further legal proceedings. Anyone who may have been affected by their unlicensed securities business operation can give additional information for the benefit of the ECD Police?s investigation and litigation at 0-2237-1199.

Investors are strongly advised to consult the License Check page at www.sec.or.th to verify whether solicitors have been approved by the Minister of Finance or the SEC. In case of suspicious, unlicensed securities business operation, please call SEC Hotline 1207 for further inspection.

Information contained in this news release is as of the aforementioned release date. For those who wish to see current status of the matter,
please go to compliant filed with inquiry officer