Asset Management Co., Ltd. failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by failing to invest in debt instruments of which

Jitta Wealth Asset Mannagement C Between March 1, 2023 and May 11, 2023, Jitta Wealth Asset Mannagement Co.,Ltd, a fund management company, it has assigned person who are not person in the capital

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

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

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"

JTW ASSET Limited JTW ASSET Limited (“JTW”) failed to report the acquisition or disposal of Sanko Diecasting (Thailand) Public Company Limited (“SANKO”) shares to the SEC Office within the period

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

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

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