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
investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and
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
operation of Coindee. His failure to perform the required duty of his position resulted in the offence committed by Coindee concerning the case that Coindee failed to maintain the net capital (NC) in
. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures
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
prior to the registration of the security, and failing to adequately monitor and maintain the collateral for the bonds. SEC Act S.46 Settlement Committee Meeting No. 10/2025 Settlement Committee
failure to maintain net capital (NC) together with the reasons of such incident to the SEC office within the period specified in the notification of the Securities and Exchange Commission. DAB Act S.94
Mr. Suthisak Vageepiyanantanon Mr. Suthisak Vageepiyanantanon, Director, responsible for the operation of AQ ESTATE Public Company Limited (“AQ”), shall be liable for AQ’s failure to prepare and