On 25 November 2023, the SEC ordered Zipmex to rectify its financial condition to comply with the rules on fund maintenance as the company failed to do so and subsequently suspended its business

director or executive positions end, as ordered by the SEC pursuant to the Notification of the Securities and Exchange Commission No. Kor Jor. 3/2560*, as the case may be. In the event that any offender

executive positions, as ordered by the SEC pursuant to the Notification of the Securities and Exchange Commission No. Kor Jor. 3/2560***, come to an end, as the case may be. In the event that any offender

manipulated the share price similar to the first incident. This caused the public to be misled about the price or trading volume of the securities. They placed ordered continuously with the intention to cause

obtaining client consent in cases where the business operator is unable to maintain net capital, in case of a transfer ordered by virtue of other laws and a transfer when the business operator intends to

, ordered, acted, or omitted to order or act according to their duties, consequently causing STARK to commit an offense in the above case. They are therefore subject to the same penalties under Section 300 in

the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A

SEC therefore ordered the company to review and reinforce its relevant systems. Meanwhile, the SEC will consider further appropriate measures in due course.    In this regard, the institutional clients

2017 and Annual Report of the Board of Directors in relation to the Company operating result in respect of the year 2017, which is subject to the approval of the Annual General Meeting of Shareholders No

selling investment units or receiving requisition of investment unit redemption, a management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the