and completeness of the monthly net capital calculation report form ("Form Dor Jor. 2") at the time of the incident, was responsible for the operation of Bitazza. His failure to perform the

Mr. Sathit Tourtripop Mr. Sathit Tourtripop, an authorized director of SS GLASCERA Company Limited was responsible for the company's operations. His failure to perform the required duty of her

BO’s failure to keep customers' digital assets in accordance with the notification of the SEC between July 14 and 17, 2024. In this regard, BO did not keep the assets in its cold wallets, digital

liable for BO’s failure to keep customers' digital assets in accordance with the notification of the SEC between July 14 and 17, 2024. In this regard, BO did not keep the assets in its cold wallets

or an act of any person or a failure to order or act according to the duties as aresult, between June 4, 2020 and May 31, 2021, Asia Wealth as a securities broker, incomplete separation of customer

from DAOLS’ failure to exercise due care and diligence in protecting the interests of the bondholders, including failing to verify existing encumbrances on the condominium units serving as collateral

. His failure to perform the required duty of his position resulted in the offence committed by ERX concerning the case that ,on April 25, 2025, May 31, 2025 and June 28, 2025, ERX failed to comply with

for the operation of Merkle relating to customers' assets. Her failure to perform the required duty of her position resulted in the offence committed by Merkle concerning the case that, from March

liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to

Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete