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

markets, places importance on oversight of issuance of securities and disclosure of information on securities issuers and encourages all sectors to realize the importance of performing their duties to

importance on oversight of issuance of securities and disclosure of information on securities issuers and encourages all sectors to realize the importance of performing their duties to strengthen

Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing

holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital