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

interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s rules governing trading by executives and employees. SEC Act S.283 Settlement Committee

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

structure, operating systems, and personnel for conducting business in accordance with the rules, procedures, and conditions prescribed by the Securities and Exchange Commission. DAB Act S.30 Settlement

Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide a structure for managing, the work system

Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited Broadgate Mutual Fund Brokerage Securities (Thailand) Company Limited failed to provide the work system including appropriate and

EMM Consulting Company Limited EMM Consulting Company Limited ("EMM"), represented by company directors Mr. Alan Sydney Roy Lane and Miss Ratanaporn Aoonta, had not been licensed to operate

Navista Global Markets Ltd. Navista Global Markets Ltd. (Navista) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The

GISP Ltd. GISP Ltd. (GISP) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The company contacted and solicited the public

misleading about financial condition, business operation, the price of securities statement related to 12 listed companies that are AEC Securities Public Company Limited ("AEC"), B.Grim Power Public