World Medical Alliance (Thailand) Co., Ltd. World Medical Alliance(Thailand) Co., Ltd. (quot;WMAquot;), a non-listed company and securities issuer, failed to prepare and submit the financial

World Medical Alliance(Thailand) Co., Ltd. World Medical Alliance(Thailand) Co., Ltd. (quot;WMAquot;), a non-listed company and securities issuer, failed to prepare and submit the key financial ratio

capacity as the bondholders’ representative, failed to maintain the required qualifications of a bondholders’ representative and neglected to notify the Securities and Exchange Commission (“SEC”) of such

Coindee Company Limited Coindee Company Limited ("Coindee"), a digital asset advisory at the time of the incident, failed to prepare and submit the NC-3 report for the first half of the

Merkle Capital Co., Ltd. From March 1, 2022 to April 21, 2025, Merkle Capital Co., Ltd. ("Merkle") as a digital asset fund manager, failed to comply with the rules, conditions and

} frequently failed to record his clients' securities trading orders as the same as {B} case as reported by his employer Phara Securities Plc. Both persons admitted that they took those orders via mobile phone

probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client

and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the

investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives

delay.According to the auditor?s report, accounting policies were improperly used in the annual financial statements for the year 2014, whereby Smart Traffic Co., Ltd., an EIC affiliate, failed to record allowance