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

Mr. Gary Bradford Mr. Gary Bradford colluded with other alleged offenders in operating securities businesses of brokerage, investment advisory and private fund management. Furthermore, PPI used

benefits and long-term return. Mr. Malpass received profits from providing investment advisory service in the ordinary course of business. Thus, Mr. Malpass operated securities business as investment advisor

Group Public Company Limited  Land and Houses Bank Public Company Limited  Land and Houses Fund Management Company Limited  Land and Houses Securities Public Company Limited  Land and Houses Advisory

Limited  Land and Houses Bank Public Company Limited  Land and Houses Fund Management Company Limited  Land and Houses Securities Public Company Limited  Land and Houses Advisory Company Limited On June

respondents, SEC has allowed more types of businesses within the four business groups to participate in a regulatory sandbox, as follows: (1)  Intermediaries, i.e., securities investment advisory service

preparedness and response. Professor Dr. Surakiart Sathienthai, Advisory Vice Chairman and Executive Chairman of the Friends in Need (of “PA”) Volunteers Foundation, along with the Foundation Committee

the 3-month period ending 31 March 2018. 1.2 Approved the entering into the Business Development Advisory Service Agreement between S Hotels (a subsidiary of the Company having 99.99 percent of total