Baan Rock Garden Public Company Limited Baan Rock Garden Public Company Limited (BROCK) , a securities issuer, had the duty to prepare and submit the Annual Registration Statements 2020 (Form 56-1

Baan Rock Garden Public Company Limited Baan Rock Garden Public Company Limited (BROCK) , a securities issuer, had the duty to prepare and submit the Annual Registration Statements 2019 (Form 56-1

Mrs. Naowanit Silaprarat Mrs. Naowanit Silaprarat, Managing Director who is responsible for the operation of BAAN ROCK GARDEN PUBLIC COMPANY LIMITED (BROCK), did not order or act in accordance with

Mrs. Naowanit Silaprarat Mrs. Naowanit Silaprarat, Managing Director who is responsible for the operation of Baan Rock Garden Public Company Limited (BROCK), did not order or act in accordance with

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

Mr. Richard Dunston Malpass Mr. Richard Dunston Malpass (“Mr. Malpass”), resided in Thailand, solicited foreign investors to make investment in mutual fund based on his advice for the sake of tax

An unspecified person Destruction of the seals the competent officers made on the seized assets in connection with "Antella Investment". SEC Act S.304 Criminal Complaint Filed with an

Mr. James  Gray Removal of the assets seized by the competent officers through execution of their duties in connection with "Antella Investment Inc.". SEC Act S.305 Criminal Complaint

Mr. James Gray Mr. James Gray, the management responsible for Antella Investment Inc., operated securities brokerage businesses without proper licenses granted. SEC Act S.301 Criminal Complaint

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