issue bills of exchange (B/E) for sale to a mutual fund of Solaris Asset Management Co., Ltd. which caused the misappropriation of an amount of 430 million baht. According to evidences, it is reasonable

SYNPHAET CO.,LTD Between December 2014 to December 2021, SYNPHAET CO.,LTD offer to sell newly issued securities in the category of Promissory Note (P/N) without approval from the SEC Office which is

Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a

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

Small Enterprise Development Co., Ltd Between 24 – 26 May 17, 2023, Small Enterprise Development Co., Ltd. have offered newly issued securities in the category of Private placement (PP10) without the

VILLA MEDICA (PHUKET) CO.,LTD Between JUNE 2017 to December 2017, VILLA MEDICA (PHUKET) CO.,LTD offer to sell newly issued securities in the category of Debentures without approval from the SEC

Devere & Partners (Thailand) Ltd. Devere & Partners (Thailand) Ltd. colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license

Broadgate Mutual Fund Brokerage Securities (Thailand) Co., Ltd. Broadgate Mutual Fund Brokerage Securities (Thailand) Co., Ltd. (Broadgate) (current name: Broadgate (Thailand) Co., Ltd.) colluded

Real DC Co., Ltd. Real DC Co., Ltd. and two other legal entities ("group of offerors") failed to comply with the regulations as specified by the Capital Market Supervisory Board by

FL 2024 CO., LTD. FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, failed to comply