(BLA) shares to be sold from the account of BKI in such a way as to take advantage of other persons by using negative material non-public information concerning BLA’s operating net loss of 880.59 million

other persons by using negative material non- public information concerning BLA’s operating net profit decrease in Q2/2014 of 168.79 million baht which significantly fell from the operating net profit of

Wongsiridej, and banned him from functioning as capital market personnel for 5 years. SEC Act (the fifth amendment) Section 241 Civil Action Dated 19/05/2017

Devere & Partners (Thailand) Ltd. Devere & Partners (Thailand) Ltd. colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license

Mr. Fredrick Ian McIntyre Mr. Fredrick Ian McIntyre colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in

service in the normal course of business outside the digital asset exchanges. The action constitutes operating digital asset dealing business without a license. This case is in the process of inquiry by the

as offering such service in the normal course of business outside the digital asset exchanges. The action constitutes operating digital asset dealing business without a license. This case is in the

offering such service in the normal course of business outside the digital asset exchanges. The action constitutes operating digital asset dealing business without a license. This case is in the process of

structure, operating systems, and personnel for conducting business in accordance with the rules, procedures, and conditions prescribed by the Securities and Exchange Commission. DAB Act S.30 Settlement

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