-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s

Banpu Public Company Limited Banpu Public Company Limited (“BANPU”) failed to prepare and submit the result of the bond sale report to the SEC Office between 26 February 2020 to 27 January 2021

IBIZ PLUS NETWORK CO.,LTD. Between December 17, 2021, and May 17, 2022, Ibiz Plus Network Co.,Ltd. have offered newly issued securities in the category of Crowdfunding bond without the approval from

;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the

prepare and submit the result of the bond sale report to the SEC office within the period specified in the notification of the office of the Securities and Exchange Commission resulted from the instruction

the category of Crowdfunding bond between December 17, 2021, and May 17, 2022 without approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 resulted from the

that involved a conflict of interest with the bond issuer. Specifically, BBL maintained a shareholding exceeding 5 percent of the issuer’s total voting rights via a company whose directors concurrently

's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the