LIBERATOR SECURITIES COMPANY LIMITED, Between November 18, 2022 to November 14, 2023, LIBERATOR SECURITIES COMPANY LIMITED, a company licensed Securities Brokerage, failed to comply with the rules

Kasikornbank Public Company Limited Between August 30, 2021 and July 18, 2023 Kasikornbank Public Company Limited (“KBANK”) as a securities underwriter, failed to comply with the rules, conditions

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

, 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

SMC Power Public Company Limited SMC Power Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2023 and (2) the annual report for the year 2023

JKN Global Group Public Company Limited JKN Global Group Public Company Limited, a securities issuer, failed to prepare and submit the reviewed financial statements for Q1/2024 through the

Rich Asia Corporation Public Company Limited Rich Asia Corporation Public Company Limited, a securities issuer, failed to prepare and submit the audited financial statements for the year 2023 through