of the Notification of the Securities and Exchange Commission. (3) failed to submitting an accurate and truthful report of the net capital to the office of Securities and Exchange Commission. (4
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
to order or act duty resulting in Beyond’s engagement in any other business which is not a licensed securities business without permission from the Capital Market Supervisory Boards approval which
outside its office for the products listed on the Stock Exchange of Thailand, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.98 (6
transmission system of the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Board. This case is in the process of inquiry by the inquiry official. SEC Act S.56
Saxo Capital Market Pte.,Ltd. Saxo Capital Market Pte.,Ltd. (Saxo) colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee
Merkle Capital Company Limited Between November 25, 2024 and January 20, 2025, Merkle Capital Company Limited (''Merkle''), a digital asset exchange, as a digital asset fund
discussion and analysis for the year 2020 through the transmission system of the Stock Exchange of Thailand as prescribed by the Notification of the Capital Market Supervisory Board. The rectified audited
CPT Holding Co., Ltd. CPT Holding Co., Ltd. (“CPT Holding”) and two other legal entities ("group of offerors") failed to comply with the regulations as specified by the Capital Market
Saishin Energy LLC. Saishin Energy LLC. and two other legal entities ("group of offerors") failed to comply with the regulations as specified by the Capital Market Supervisory Board by