changed his securities holding. In this regard, Mrs. Suvimol has the duty to prepare and disclose a report regarding her spouse’s holding securities and the changes to such holdings (Form 59) within May 24

failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are

failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are

failure to order or act according to the duties as aresult, Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net

obligated to notify the modification of URBNPF mutual fund to the SEC office within February 18, 2023. But KKPAM notified this modification to the SEC office on May 31, 2023. SEC Act S.129 Settlement

Gulf Binance Company Limited Gulf Binance Company Limited (''Gulf Binance'') as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in

GMO-Z.COM CRYPTONOMICS (THAILAND) GMO-Z.COM CRYPTONOMICS (THAILAND) Company Limited (''Z.COMEX'') as a digital asset exchange failed to comply with the rules, conditions and

InnovestX Securities Company Limited InnovestX Securities Company Limited ("INVX") as a digital asset exchange failed to comply with the rules, conditions and procedures stipulated in the

Miss Achira Taulanada Miss Achira Taulanada, Director of Accounting and Finance who is responsible for the operation of Ascend Nano Company Limited (“ASN”), shall be liable for ASN’s failure to

to prepare and submit key financial ratio for the year 2023 within the period as specified by the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to