Thai Technician Professional Company Limited Thai Technician Professional Company Limited offer to sell newly issued securities in the category of convertible bonds without approval from the SEC

to prepare and submit the defaults in Bill of Exchange and the default in the interest of bonds, these incidents which affects or is likely to affect the rights and interests of securities holders or

operations of Dao Securities (Thailand) Public Company Limited (“DAOLS”), was required to ensure that DAOLS performed its duties with the level of care and diligence expected of a professional in safeguarding

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

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

Maybank Securities (Thailand) Public Company Limited Between 27 October 2020 to 22 February 2021, Maybank Securities (Thailand) Public Company Limited as a Securities brokerage business has sold

P Holding Securities Public Company Limited P Holding Securities Public Company Limited (“PHS”) formerly known as RHB Securities (Thailand) Public Company Limited at the time of the incident, in its

Bualuang Securities Public Company Limited Between 1 September 2022 and 15 September 2024, Bualuang Securities Public Company Limited (“Bualuang Securities”) maintained an internal investment

trading order or trading securities in such a way that misleads other persons regarding the price or volume of the securities trading and placing a securities trading order or trading securities on a

M.L.Thongmakut Thongyai M.L.Thongmakut Thongyai chief executive officer who is responsible for the operation of Krungthai XSpring Securities Co., Ltd. (KTX) shall be liable for (1) KTX offered for