to order or act resulting in Beyond’s failure to put in place sufficient and effective risk management system which violated Section 113 of the Securities and Exchange Act B.E. 2535 amended by the

Mr. Gary Bradford Mr. Gary Bradford colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management. Furthermore, PPI used

Globalview Consulting Co.,Ltd. Globalview Consulting Co.,Ltd. colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management by

advisory and private fund management by advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535

control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code

Phillip asset management Company Limited June 1, 2023. Phillip asset management Company Limited a fund management company, failed to manage PHILLIP CASH MANAGEMENT OPEN END FUND ("PCASH"

and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment

offenders in operating securities businesses of brokerage, investment advisory and private fund management. Furthermore, PPI used website: www.ppi-advisory.com to lure investing public that it had very

Mr. Graham Leslie Arthur Peveller Mr. Graham Leslie Arthur Peveller as the Director responsible for the operation of Chartered Asset Management Co.,Ltd., Bowen Reece Co., Ltd., Harvey Dunbar Co., Ltd

invest in securities, in Thailand under the name of " Gulf Pacific Asset Management Ltd." without proper licenses granted, violating Section 90. The public prosecutor issued a prosecution order