1000X as a digital asset dealer on its platform. Additionally, Mr. Worawat promoted 1000X's services in Thai language through his social media. As a result, Mr. Worawat and 1000X jointly operated the

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

Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed

Mr. Worawat have jointly operated a digital asset dealer without a license. This case is in the process of inquiry by the inquiry official. DAB Act S.26 and Section 83 of Penal Code Criminal

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

Mr. Bee Taechaubol Mr. Bee Taechaubol making the tender offer of securities of Electronics Industry Public Company Limited (EIC) purchased 1,017,500 shares of EIC in the Stock Exchange of Thailand at

for Q3/2018 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. This case is in the process of inquiry by

statements for Q3/2018 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. This case is in the process of inquiry by

to prepare the reviewed financial statements for Q1/2017, Q2/2017 and Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. SEC Act S.300