JAS stock noticeably increased and Mr. Soraj gained undue benefits from selling the JASH16 Futures he had bought. SEC Act S.89/7 and Section 89/10 and Section 89/11 Settlement Committee Meeting No

PT Millenniun Penata Futures PT Millenniun Penata Futures colluded with Mr. Artipan Thongjan in operating derivatives business without license or registration with the SEC in violation of Section

Mr. Artipan Thongjan Mr. Artipan Thongjan colluded with PT Millenniun Penata Futures in operating derivatives business without license or registration with the SEC in violation of Section 16 of

futures for hedging risk. SEC Act S.133 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022

Navista Global Markets Ltd. Navista Global Markets Ltd. (Navista) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The

GISP Ltd. GISP Ltd. (GISP) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The company contacted and solicited the public

futures trading agent. The company contacted and solicited the public as well as disseminated related investment documents and information through various channels including website www.famarkets.com to

front run his client’s futures trading orders. Such trading orders made through Ms.Nanthanat Srisawangwong at another broker for his personal gain. This action caused financial damages to his clients

Thaicredit Retail Bank Public Company Limited On 1 March, 2017 Thaicredit Retail Bank Public Company Limited (“TCR”) offer for sale newly issued securities in the category of warrant (Employee Stock

Mrs. Shanya Pengpunpat Mrs. Shanya Pengpunpat assisted or facilitated Mr. Win Udomrachtavanich, Mr. Ratachai Teratanavat and Mr. Vijchu Chantatub to manipulate the stock price and trade volume of