DBS Vickers Securities (Thailand) Co.,Ltd. Between May 22, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to put in place a
DBS Vickers Securities (Thailand) Co.,Ltd. Between May 29, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to maintain net capital
Daol Securities (Thailand) Public Company Limited Between November 11, 2017 and May 17, 2021 Daol Securities (Thailand) Public Company Limited, a private fund management company, failed to comply
GMO-Z.com Cryptonomics (Thailand) Company Limited Between February 22, 2021 and July 31, 2021, GMO-Z.com Cryptonomics (Thailand) Company Limited, a digital asset exchange and a digital asset broker
Upbit Exchange (Thailand) Company Limited Between February 18, 2021 and November 21, 2021, Upbit Exchange (Thailand) Company Limited, a digital asset exchange and a digital asset broker, prepared and
Lederer (Thailand) Company Limited Lederer (Thailand) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office
Miss Kanyakorn Supakarnkacharoen Miss Kanyakorn Supakarnkacharoen, an authorized director, responsible for the operation of Lederer (Thailand) Company Limited, shall be liable for Lederer (Thailand
UOB Asset Management (Thailand) Company Limited UOB Asset Management (Thailand) Company Limited, a fund management company, disclose investment information which is failed to comply with the rules
UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and
Mr. Pattarapol Wongsasuthikul Between March 27, 2017 to June 25, 2018 Mr. Pattarapol Wongsasuthikul, Assistant Managing Director of Thai Rubber Latex Corperation (Thailand) Public Company Limited