failure to order or act in accordance with the duties required to be performed. SEC Act S.300 in conjunction with 56(4) Criminal Complaint Filed with an Inquiry Official Dated 12/06/2025
shares to the public when the registration statement and the draft prospectus haven’t been filed with the SEC Office which is in violation of Section 300 and Section 276 of the Securities and Exchange Act
with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90
result of his failure to order or act in accordance with duties required to be performed. SEC Act S.300 in conjunction with 56(2)(4) Criminal Complaint Filed with an Inquiry Official Dated 28/10/2022
securities in the category of debentures between August 11, 2017 and August 5, 2020 without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the
clients? behalf.The misconducts of Veerachai and Jakkrit were deemed interference with clients? assets in concealment, fabrication of false evidence and exploitation of investors? trading accounts to seek
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