Siamese Asset Public Company Limited Siamese Asset Public Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office

Phillip Asset Management Company Limited Phillip Asset Management Company Limited had duties to prepare and submit the Daily Subscription and Redemption Report of Mutual Fund (“Form A-2”) to the SEC

Kiatnakin Phatra Asset Management Company Limited Kiatnakin Phatra Asset Management Company Limited ("KKPAM") as a mutual fund management company, completed the negotiations with the Sub

UOB Asset Management (Thailand) Company Limited UOB Asset Management (Thailand) Company Limited, a mutual fund management company, failed to manage the Brilliant Plus Fund with the rules, conditions

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

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

Phillip asset management Company Limited June 1, 2023. Phillip asset management Company Limited a fund management company, failed to manage PHILLIP CASH MANAGEMENT OPEN END FUND ("PCASH"

Thai Digital Asset Exchange Company Limited Between December 19 to 26, 2023, Thai Digital Asset Exchange Company Limited ("TDX"), a digital asset exchange, did not keep customers'

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

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