Bitazza Company Limited Bitazza Company Limited, a digital asset broker, failed to calculate, prepare and submit the daily net capital report (Form Dor Jor. 1) for the period from June 26, 2024 to

Bitazza Company Limited Bitazza Company Limited, a digital asset broker, failed to calculate, prepare and submit the monthly net capital calculation report (Form Dor Jor. 2) for the period of June

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

notes offered to Institutional or High Net Worth investors (II&HNW) through the transmission system of the SEC Office the period specified in the notification of the Securities and Exchange Commission

Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a

, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors

, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee

own account in such a way as to take advantage of other persons by using negative material non- public information concerning the fact that BLA’s operating net loss of 880.59 million baht significantly

(BLA) shares to be sold from the account of BKI in such a way as to take advantage of other persons by using negative material non-public information concerning BLA’s operating net loss of 880.59 million