aforesaid person jointly operated derivatives business as derivatives fund manager without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003) Section 16 and subject to
Mr. Kaow or Sakkarin Sricharoen Mr. Kaow or Sakkarin Sricharoen operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E
for sale newly issued securities shares for a private placement without obtaining a prior approval from the SEC on 11 October, 2017. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting
for a private placement without obtaining a prior approval from the SEC on 7 March, 2018. SEC Act S.300 in conjunction with 33 Settlement Committee Meeting No. 4/2019 Settlement Committee Order No
Mr. Yuttana Lipirodkul Mr. Yuttana Lipirodkul operated securities and derivatives businesses without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289
without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. This case is in the process of inquiry by the
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