J.R.A Business Center Co.,LTD J.R.A. Business Center Co.,LTD operated derivatives business without license or registration with the SEC in violation of Section 16 of the Derivatives Act B.E. 2546

provided the collection and assessment of customer information (Know Your Customer / Customer Due Diligence) (KYC/CDD) systems for Satang to operate its business in accordance with relevant laws, regulations

procedures as specified in the notification of the Capital Market Supervisory Board by engaging in any other business which is not a licensed securities business without the Capital Market Supervisory Board’s

Mr. Kasemsak Sirisreesornchai Mr. Kasemsak Sirisreesornchai, a director responsible for the operation of J.R.A. Business Center Co.,LTD, operated derivatives business without license or

Kasikorn Securities Public Company Limited Kasikorn Securities Public Company Limited failed to prepare and submit the result of the structured note, underlied to PTT Exploration and Production

prepare and submit the result of the structured note, underlied to PTT Exploration and Production Public Company Limited ("PTTEP") sale report to the SEC Office within the period specified in the

provided in the Office?s electronic work system to all shareholders of business within the period specified in the notification. However, a copy of such opinion were later delivered to all shareholders of

to order or act duty resulting in Beyond’s engagement in any other business which is not a licensed securities business without permission from the Capital Market Supervisory Boards approval which

WAS BUSINESS COMPANY LIMITED WAS BUSINESS COMPANY LIMITED ("WAS") failed to prepare and submit the result of the crowdfunding debentures sale report to the SEC Office within 25 October

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