Zipmex Company Limited On April 1, 2024, Zipmex Company Limited, a digital asset exchange and broker, appointed a director without the approval of the SEC. DAB Act S.29 paragraph 1 Settlement

Bitazza Company Limited Bitazza Company Limited, a digital asset broker, failed to calculate, prepare and submit the daily net capital report (Form Dor Jor. 1) for the period from June 26, 2024 to

Bitazza Company Limited Bitazza Company Limited, a digital asset broker, failed to calculate, prepare and submit the monthly net capital calculation report (Form Dor Jor. 2) for the period of June

GMO-Z com Securities (Thailand) Public Company Limited GMO-Z com Securities (Thailand) Public Company Limited (“Z com Securities”) failed to maintain its net capital ratio (NCR) in accordance with

199 Medical Clinic Company Limited 199 Medical Clinic Company Limited offered for sale of newly issued shares in the form of general or to the public without approval from the SEC office. SEC Act

Energy Absolute Public Company Limited Energy Absolute Public Company Limited offer to sell newly issued securities in the category of Bill of Exchange without approval from the SEC Office which is

DAOL SECURITIES (THAILAND) PUBLIC COMPANY LIMITED Dao Securities (Thailand) Public Company Limited (“DAOLS”), in its capacity as the bondholders’ representative, failed to perform its duties with the

Coindee Company Limited During February 21, 2025 to October 26, 2025, Coindee Company Limited, a digital asset advisory at the time of the incident, failed to maintain the net capital in accordance

Coindee Company Limited During April 28, 2025 to October 26, 2025, Coindee Company Limited, a digital asset advisory at the time of the incident, appointed an authorized director without obtaining

Alpha Divisions Public Company Limited Alpha Divisions Public Company Limited used the proceeds obtained from the offering of new shares to private placement, that is not used for the purpose