technology to private fund management in analysis, selection and screening of securities trading signals, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory
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
. 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
believing that JKN had an increase in trade creditors that year. These fictitious trade creditors were then used to exercise voting rights in the selection of JKN’s business rehabilitation planner. This case