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

prepare the reviewed financial statements for Q1/2017 and the reviewed financial statements for Q2/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification

supervise TUCC to prepare the reviewed financial statements for Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out

and submit the annual registration statement for the year 2016 (Form 56-1, 2016) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. SEC Act S.300

and submit the reviewed financial statements for Q1/2017 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company’s violation of section 56. SEC Act

program basis without providing its securities for credit rating prior to the offer for sale of the securities which is in violation of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement

securities in the category of promissory note without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 6/2023

the approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 7/2023 Settlement Committee Order No. 65/2023 Dated 09