Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for selling and buying
submitted such document on 30 January 2023, which failed to prepare and submit financial statement within the period specified by the notification of the Capital Market Supervisory Board. SEC Act S.56(2
LIBERATOR SECURITIES COMPANY LIMITED, Between November 18, 2022 to November 14, 2023, LIBERATOR SECURITIES COMPANY LIMITED, a company licensed Securities Brokerage, failed to comply with the rules
Kasikornbank Public Company Limited Between May 30, 2021 and July 18, 2023 Kasikornbank Public Company Limited (“KBANK”) as a securities underwriter, failed to comply with the rules, conditions and
Max Metal Corporation Public Company Limited Max Metal Corporation Public Company Limited (“MAX”), a securities issuer, failed to prepare and submit the reviewed financial statements for Q1/2015 to
Adamas Incorporation Public Company Limited Adamas Incorporation Public Company Limited (“ADAM”), a securities issuer, failed to prepare and submit the reviewed financial statements for Q2/2015 to
Adamas Incorporation Public Company Limited Adamas Incorporation Public Company Limited (“ADAM”), a securities issuer, failed to prepare and submit the reviewed financial statements for Q1/2015 to
Chuo Senko (Thailand) Public Company Limited Chuo Senko (Thailand) Public Company Limited failed to prepare and submit (1) the reviewed financial statements for Q2/2018 and (2) the reviewed financial
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