outside its office for the products listed on the Stock Exchange of Thailand, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.98 (6
supervise TUCC to prepare the reviewed financial statements for Q3/2015 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out
violation of Section 315 of the Securities and Exchange Act B.E. 2535. On October 7, 2020, the Criminal Court sentenced the defendant to 10 years in prison. The defendant exercised the right to appeal. The
granted, violating Section 90 of the Securities and Exchange Act B.E.2535. This case is in the process of inquiry by the special case inquiry official. SEC Act S.90 Criminal Complaint Filed with an
Mr. Huang Young Lin Mr. Huang Young Lin (or Yong Lin Huang) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
Mr. Tang Tia Julien Mr. Tang Tia Julien (or Tia Julien Tang) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
Mr. Teh Cheng Huat Mr. Teh Cheng Huat (or Cheng Huat Teh) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
supervise TUCC to prepare the reviewed financial statements for Q3/2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out