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. 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

Mr. Zhou Zhou Mr. Zhou Zhou colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and

Mr. Cheng Jia Mr. Cheng Jia colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and

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

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

Mr. Artit Suntawanic Mr. Artit Suntawanic alleged offenders in operating securities businesses and derivatives businesses of investment advisory without obtaining license from the SEC by using