granted violating Section 16 of the Derivatives Act B.E.2546 (2003). In addition, WSD International (Thailand) Co., Ltd. claimed to be legitimate licensee of derivatives business in Thailand , in fact WSD

N.A.T. (Thailand) Company Limited N.A.T. (Thailand) Company Limited (N.A.T.) operated derivatives business without obtaining license from the SEC, in violation of the Derivatives Act B.E. 2546 (2003

Derivatives Act B.E.2546 (2003). In addition, WSD Financial (NZ) Ltd. claimed to be legitimate licensee of derivatives business in Thailand , in fact it had been registered with the SEC as derivatives dealer

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

THAI INDUSTRIAL PART Limited THAI INDUSTRIAL PART Limited (“TIP”) failed to report the acquisition or disposal of Sanko Diecasting (Thailand) Public Company Limited (“SANKO”) shares to the SEC Office

JTW ASSET Limited JTW ASSET Limited (“JTW”) failed to report the acquisition or disposal of Sanko Diecasting (Thailand) Public Company Limited (“SANKO”) shares to the SEC Office within the period

Mr. Pira Patamavorakulchai Mr. Pira Patamavorakulchai failed to report the acquisition or disposal of Sanko Diecasting (Thailand) Public Company Limited (“SANKO”) shares to the SEC Office within the

including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.113 Criminal

sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with

solicits and advertises CoinEx’s services to customers in Thailand. Mr. Puttipong Nijaroen, claiming that he is a partner of CoinEx Thailand, performed a guest speaker at Thailand Crypto Expo 2022 exhibited