Mr. Lu Yangyin Mr. Lu Yangyin colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities

Mr. Wu Jincheng Mr. Wu Jincheng colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities

Mr. Chen Xiaoxiang Mr. Chen Xiaoxiang colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the

Mr. Xin Ye Mr. Xin Ye colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and

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

Mr. Artit Suntawanic Mr. Artit Suntawanic alleged offenders in operating securities businesses and derivatives businesses of investment advisory without obtaining license from the SEC by using

, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries , as well as other notifications or guidelines issued under such Notification

, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries, as well as other notifications or guidelines issued under such Notification. Clause 4 In providing

; “ Notification on Standard of Business Operation ” means the Notification of the Capital Market Supervisory Board concerning Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing

Business Operation” means the Notification of the Capital Market Supervisory Board concerning Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of