procedures as specified in the notification. In this regard, Bitazza's compliance system for monitoring the operations of the digital asset business operator was deficient. In particular, Bitazza failed
FIRST PLUS ASSET MANAGEMENT (THAILAND) COMPANY LIMITED (“FPAM”) First Plus Asset Management (Thailand) Company Limited (“FPAM”), as a licensed securities business operator engaging in fund management
SCB Asset Management Co.,Ltd SCB Asset Management Co.,Ltd, as a securities business operator of mutual fund management Ads with data about numbers that represent an estimated return on investment
The Siam Commercial Bank Public Co.,Ltd The Siam Commercial Bank Public Co.,Ltd, as a securities business operator in the category of Brokerage, Trading and Distributing securities as investment
’ impact on the business operation of the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However
Exmix Company Limited During 20 September 2021 – 4 March 2025, Exmix Company Limited (''Exmix'') as the operator of the websites https://www.exmix.co and https://wallet.exmix.io
for monitoring the operations of the digital asset business operator was deficient. In particular, Bitazza failed to prepare an audit plan that appropriately reflected the relevant risks. The audit
FIRST PLUS ASSET MANAGEMENT (THAILAND) COMPANY LIMITED (“FPAM”) FIRST PLUS ASSET MANAGEMENT (THAILAND) COMPANY LIMITED (“FPAM”), as a licensed securities business operator engaging in fund management