-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
notification of the SEC by failing to put in place a sufficient and effective system for brokerage services system in digital asset trading, causing the coin prices displayed in the order book was inaccurately
rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failed to implement an adequate system to ensure the accurate and complete management and
Mr. Wichai Thavornwattanayong Mr.Wichai Thavornwattanayong, former chairman of IFEC and the authorized person to disclose information through the SET’s information disclosure system (ELCID), failed
World Trading Prosperity Co., Ltd. World Trading Prosperity Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such
Zipmex Company Limited Zipmex disseminated or certified statements that were materially misleading in regarding the trading price of digital assets, in such manner that is likely to have an impact on
price of Star Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting
Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing
Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume