and entered into derivatives contracts whose underlyings were the securities price of such companies while the companies’ draft financial statements were being recorded in the EY information system
manager position of another audit group. Mr. Warot and Ms. Jeeranan jointly purchased securities and entered into derivatives contracts whose underlyings were the securities price of such companies while
failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are
assets The client’s assets are used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. SEC Act S.283 Settlement
Singapore and/or other affiliated companies as designated, effective from 8 May 2022. According to The Securities and Exchange Commission ("SEC")'s findings, Zipmex Thailand clients'
Mr. Pichet Sithi-amnuai Between 1 September 2022 and 15 September 2024 Mr. Pichet Sithi-amnuai, as Managing Director of Bualuang Securities Public Company Limited (“BLS”) and the person responsible
for the operation of Merkle relating to customers' assets. Her failure to perform the required duty of her position resulted in the offence committed by Merkle concerning the case that, from March
An unspecified person Destruction of the seals the competent officers made on the seized assets in connection with "Antella Investment". SEC Act S.304 Criminal Complaint Filed with an
Mr. James Gray Removal of the assets seized by the competent officers through execution of their duties in connection with "Antella Investment Inc.". SEC Act S.305 Criminal Complaint