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
from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125. This case is in the process of inquiry by the inquiry official. DV Act S.16
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
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
Mr. Somboon Numtipjuntacharern Mr. Somboon Numtipjuntacharern, authorized director who is responsible for the operation of Thai Canal Rich Company Limited, order or act resulting in Thai Canal Rich
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