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
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