system. Different working teams are assigned to work remotely to mitigate operational risk and ensure that the operations and the services to the public will continue without interruption,” said Ms

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

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

Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343

WSD Financial (NZ) Ltd. WSD Financial (NZ) Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343 of the Penal Code

Mr. Matthew Christensen Matthew Christensen operated derivatives business without obtaining license or registration from the SEC, in violation of the Derivatives Act B.E. 2546 (2003), Section 16 and

S D Global S D Global operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under

Seandar Inc. Seandar Inc. (or Seandar) operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to

Mr. Thanawat Kiattisak Mr. Thanawat Kiattisak operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E. 2546 (2003

Bangkok, March 30, 2016 ? The SEC is seeking public comments on proposed amendments to the rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration