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

failure to prepare and submit the annual report for the year 2019 and 2020 (Form 56-2) to the SEC Office within the period specified by the notification of the Capital Market Board, resulted from the

to prepare and submit 10 results of the bill of exchange sale report within the period as specified by the Securities and Exchange Commission resulted from the instructions or the failure to give

liable for RICH failure to prepare and submit a financial statement for the year 2020 to the SEC Office within the period specified by the notification of the Capital Market Board, resulted from the

for RICH failure to prepare and submit a financial statement for the year 2020 to the SEC Office within the period specified by the notification of the Capital Market Board, resulted from the