substantial damages to SECC by (1) embezzling Baht 42 million from SECC share subscription account, (2) misappropriating 25 customers’ car registration certificates, and (3) conspiring with another person to

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

Origin Property Public Company Limited Origin Property Public Company Limited ("ORI") failed to prepare and submit the result of the bonds sale report for institutional investors (II) to

failure to prepare and submit the result of the bonds sale report for institutional investors (II) within the period specified in the notification of the SEC resulted from the instruction or the failure to

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