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

advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions

(1992) Section 90 and subject to sanctions under Section 289. The public prosecutor issued a prosecution order against the accused. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated

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

. 2546 (2003), Section 16 and subject to sanctions under Section 125. On April 8, 2021, the Criminal Court sentenced the accused 1-year imprisonment and 1,000,000 Baht fine. Since the accused pleaded

30, 2013 that Mr. Sathit was the owner of ABC shares. Such action aided and abetted Mr. Sathit to violate section 247 and was to conceal that Mr.Sathit was the owner of ABC shares. SEC Act S.247 in

to violate section 246. SEC Act S.246 in conjunction with section 86 of the Penal Code Settlement Committee Meeting No. 9/2018 Settlement Committee Order No. 30/2018 Dated 26/09/2018

Company Limited) (“VTE”) responsible for the operation of VTE shall be liable for section 300, 33(2) and section 35 of The Securities and Exchange Act of Thailand B.E. 2535 (1992). In case of VTE offer