Mr.Prasert Mr.Prasert (surname not available), jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses

Zipmex Company Limited Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, has been failing to report a summary of the assignment of other persons to

for assigning other persons to perform the work related to business operations. Accordingly, the act of Zipmex was not in accordance with the notification of the SEC. DAB Act S.30 Settlement

information about the funds’ investment plans to trade securities for her personal or other persons’ gains (front running). The Criminal Court dismissed the lawsuit. SEC Act S.315 in conjunction with 311

Mr. Anupon Sriard During the period of 25 – 31 August 2015 and 19 – 21 October 2015, 13 persons, namely (1) Mr. Suraphong Triamchanchai (2) Nippon Pack (Thailand) Public Company Limited (currently

using information about the funds’ investment plans to trade securities for his personal or other persons’ gains (front running). The criminal case is closed because the alleged offender died. SEC Act

Data Resources Asia Co., Ltd. Between July 2004 and 17 December 2004, Data Resources Asia Co., Ltd. with other alleged persons operated securities brokerage business, soliciting foreign clients to

Mr. Robert Edward Jowett Between July 2004 and 17 December 2004, Mr. Robert Edward Jowett with other alleged persons operated securities brokerage business, soliciting foreign clients to invest in

company assets or obtain unlawful gains for himself or other persons, causing damage to CIRKIT. The public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the

permit another to produce fraud documents and prepare incorrect financial statements to deceive other persons. the public prosecutor issued a prosecution order; however, attempt to arrest the accused