Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.

Bitkub Online Company Limited Between August 27, 2023 and September 30, 2023, Bitkub Online Company Limited (“Bitkub”), a digital asset exchange, did not keep customers' digital assets in

Thai Digital Asset Exchange Company Limited Between December 19 to 26, 2023, Thai Digital Asset Exchange Company Limited ("TDX"), a digital asset exchange, did not keep customers'

Bitazza Company Limited Between December 26 to 31, 2023, Bitazza Company Limited ("Bitazza"), a digital asset broker, did not keep customers' digital assets in accordance with the

Bitkub Online Company Limited Between July 14 and 17, 2024, Bitkub Online Company Limited ("BO"), a digital asset exchange, did not keep customers' digital assets in accordance with

Zipmex Company Limited Between April 10, 2024 and May 27, 2024, Zipmex Company Limited ("Zipmex"), a digital asset exchange and broker, did not keep customers' digital assets in

Confidential information CRAs should maintain in confidence all non-public information communicated to them by any issuer, or its agents, under the terms of a confidentiality agreement or otherwise under a

Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities

report of net liquid capital calculation, and for each time that such contract is changed; (4) keep every daily report of net liquid capital calculation and evidences using for calculating such particulars

capital calculation, and for each time that such contract is changed; (4) keep every daily report of net liquid capital calculation and evidences using for calculating such particulars for at least one year