process of preparing and updating private fund contracts is not prudent and concise, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S
outside its office for the products listed on the Stock Exchange of Thailand, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.98 (6
Krungthai XSpring Securities Company Limited Between November 14, 2022 and August 9, 2023 Krungthai XSpring Securities Company Limited ("KTX") as a securities underwriter, failed to comply
annual report did not comply with the notification of the Capital Market Supervisory Board. The rectified information was later submitted to the SEC Office on June 2, 2016. SEC Act S.56 and 199
, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors
Yuanta Securities (Thailand) Company Limited Between May 9, 2022 and August 7, 2023 Yuanta Securities (Thailand) Company Limited as a securities underwriter, failed to comply with the rules
Coins TH Company Limited On September 7, 2024, Coins TH Company Limited ("Coins TH") as a cryptocurrency broker and dealer, failed to comply with the rules, conditions and procedures as
BBL Asset Management Company Limited Between January 27, 2023 and October 28, 2024 BBL Asset Management Company Limited as a mutual fund management company, failed to comply with the rules
Bitkub Online Company Limited During September 22, 2024 to February 8, 2025, Bitkub Online Company Limited (''Bitkub'') as a digital asset exchange failed to comply with the rules
Bitazza Company Limited Between September 22, 2024 and September 23, 2024, Bitazza Company Limited ("Bitazza") as a digital asset broker, failed to comply with the rules, conditions and