P.T. Research Co., Ltd. P.T. Research Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). - The

Mr. Pat Thamma Mr. Pat Thamma, director of P.T. Research Co., Ltd., operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E

registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546 (2003). This case is in the process of inquiry by the inquiry official. DV Act S.16 Criminal Complaint Filed with an

from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and subject to sanctions under Section 125. This case is in the process of inquiry by the inquiry official. DV Act S.16

Mr. Huang Young Lin Mr. Huang Young Lin (or Yong Lin Huang) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992

Mr. Tang Tia Julien Mr. Tang Tia Julien (or Tia Julien Tang) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992

Mr. Teh Cheng Huat Mr. Teh Cheng Huat (or Cheng Huat Teh) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992

effective redress for violation of their rights. Equity investors have certain property rights. For example, an equity share in a publicly traded company can be bought, sold, or transferred. An equity share

who obtained an SEC approval to become ICO portals and for digital token sale. Therefore, those who make infringement will be regarded as breaking the laws with criminal and civil penalties

may deregister a RR where the RR and/or his attached CMSL holder does not comply with any of the requirements as specified in the Handbook. • The SC may take action against the RR for breach of the CMSA