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

shares to the public when the registration statement and the draft prospectus haven’t been filed with the SEC Office which is in violation of Section 300 and Section 276 of the Securities and Exchange Act

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

Facebook account named "Japhoon", in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003

complied with, and the fund’s articles are properly in accordance with Section 9 and are not in violation of law or the fund’s objectives, the registrar shall effect the registration of the fund, and shall

requirements of Section 6 have been properly and fully complied with, and the fund’s articles are properly in accordance with Section 9 and are not in violation of law or the fund’s objectives, the registrar

substitution for trading orders sent by clients from trading room only.Failure to record the securities trading orders is in violation of Clause 20(3) while inappropriate submission of trading order form (Form