Antella Investment Inc. Between 1997 and 2000, Antella Investment Inc. operated securities brokerage businesses, soliciting foreign clients to invest in securities, in Thailand under the name of

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

Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for selling and buying

Devere & Partners (Thailand) Ltd. Devere & Partners (Thailand) Ltd. colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license

Mr. Fredrick Ian McIntyre Mr. Fredrick Ian McIntyre colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in

Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions 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. Morakot Chaithongkum Mr. Morakot Chaithongkum operated securities businesses of investment advisory and private fund management by giving advice in the normal course of business to the public

MR.CHALERMKIAT DEESAOWAPAK MR.CHALERMKIAT DEESAOWAPAK operated securities businesses of investment advisory by giving advice in the normal course of business to the public concerning the value of

calls, SMS, and Line application with a view for investors to trade derivative contracts in their accounts of a securities company, in cooperation with Mr. Torpong Thammasombat, an investment consultant