financial transactions: (1) shares of an investment company; (2) unit trust certificates; (3) instruments or evidentiary documentation showing the right in the assets of collective investment schemes. “CIS

management; (2) private fund management; (3) securities brokerage of investment units, trust certificates of trust having the similar characteristics as mutual fund or any other securities prescribed by the

Determination of Other Financial Institutions Eligible to Apply for Securities Business Licenses Pursuant to the Ministerial Regulation Concerning Granting of Approval for Undertaking Securities

Mr. James Gray Mr. James Gray, the management responsible for Antella Investment Inc., operated securities brokerage businesses without proper licenses granted. SEC Act S.301 Criminal Complaint

days (within 14 August 2018) to continue their businesses until an order to cease their businesses is given.As of 14 August 2018, these seven existing businesses seeking operating licenses, in line

substantial damages to SECC by (1) embezzling Baht 42 million from SECC share subscription account, (2) misappropriating 25 customers’ car registration certificates, and (3) conspiring with another person to

Mr.Anugul Khumgerd Mr.Anukul Khumgerd, jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses granted

proper licenses granted, violating Section 90 of the Securities and Exchange Act B.E.2535. The Criminal Court dismissed the case. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 31

"Antella Investment" without proper licenses granted. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 05/06/2001

Mr. Suwat Eiewaksorn Mr. Suwat Eiewaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a