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

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

P Holding Securities Public Company Limited P Holding Securities Public Company Limited (“PHS”) formerly known as RHB Securities (Thailand) Public Company Limited at the time of the incident, in its

failure to order or act according to the duties as aresult, Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net

Mr. Siroj Singkham Mr. Sirot Singkham, a Chief Executive Officer of a digital asset advisory called Coindee Company Limited ("Coindee") at the time of the incident, was responsible for the

Asia Wealth Securities Public Company Limited Asia Wealth Securities Public Company Limited, as a securities broker, violated The Securities and Exchange Act B.E. 2535 Act, in total 4 cases as

Mr. Lee Yuan Tat Mr. Lee Yuan Tak, at the time of the incident, held the position of Chief Executive Officer of RHB Securities (Thailand) Public Company Limited, now as P Holding Securities Public

operations of Dao Securities (Thailand) Public Company Limited (“DAOLS”), was required to ensure that DAOLS performed its duties with the level of care and diligence expected of a professional in safeguarding

Mr. Siroj Singkham Mr. Siroj Singkham, a Chief Executive Officer of a digital asset advisory called Coindee Company Limited ("Coindee") at the time of the incident, was responsible for the