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

Bitkub Online Company Limited During September 22, 2024 to February 8, 2025, Bitkub Online Company Limited (''Bitkub'') as a digital asset exchange failed to comply with the rules

Bitazza Company Limited Between September 22, 2024 and September 23, 2024, Bitazza Company Limited ("Bitazza") as a digital asset broker, failed to comply with the rules, conditions and

rules governing trading by executives and employees. SEC Act S.113 Settlement Committee Meeting No. 10/2025 Settlement Committee Order No. 145/2025 Dated 15/12/2025

BBL Asset Management Company Limited From 12 July 2023 to 30 September 2024, BBL Asset Management Company Limited as a mutual fund management company, failed to comply with the rules, conditions and

However, the rules do not prohibit digital asset brokers from providing meme token services to clients on the condition that they must act as broker or agent in trading and exchanging digital assets

Early this year, SEC held public hearings to obtain views on establishing rules that require companies issuing IPOs to disclose information related with the offering for sale of their securities

for operating a derivatives regulatory association only upon meeting the criteria such as having good corporate governance structure, establishing rules for recruiting and supervising members that are