-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s

;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the

's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the

statement for the year 2022 to SEC office and notify the financial statement on GMOZ’s website within the period specified in the notification of the Securities and Exchange Commission which is within May 2

") has provided platform services for trading or exchanging digital assets via its website by matching orders or arranging for the counterparty or providing the system or facilitating a person who

website was inaccurately and inconsistently presented to investors, the general public and the SEC. For example, the website did not show the trading prices for coins that were traded at low prices or

disclose the service quality information on Zipmex's website within the specified period in accordance with the notification. This case is under consideration of the public prosecutor. DAB Act S.30

company contacted and solicited the public as well as disseminated related investment documents and information through various channels including website www.ngm-trading.com to lure the investing public

as well as disseminated related investment documents and information through various channels including website www.famarkets.com to lure the investing public into their businesses. The aforesaid act

advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions