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

, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors

, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee

notes offered to Institutional or High Net Worth investors (II&HNW) through the transmission system of the SEC Office the period specified in the notification of the Securities and Exchange Commission

sale newly issued securities in the category of of debt securities to high-net-worth investors on a program basis without providing its securities for credit rating prior to the offer for sale of the

Bangkok, June 18, 2014 ? The SEC revealed that the Settlement Committee imposed a total fine of 6,159,269 baht on Yongyuth Ngamkaiwan for using inside information to suggest Vorakun Ngamkaiwan sell

accurate information was in place to ensure the status of qualified customers as high net worth investors. SEC Act S.113 Settlement Committee Meeting No. 2/2025 Settlement Committee Order No. 20/2025

liable for UOB’s failure to prepare and submit the report on the sale results of structured notes offered to Institutional or High Net Worth investors (II&HNW) through the transmission system of the

Line "Learn to High Net Worth" : Unlicensed securities and derivatives business (Disclosure Date : 01/08/2025)