Asia Wealth Securities Public Company Limited Between February 25, 2021 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to submitting an accurate and
law on securities and exchange (SC.) licensed to operate securities business in the category of: Ο securities broker Ο securities dealer Ο investment advisor Ο securities underwriting Ο mutual fund
under the law on securities and exchange (SC.) licensed to operate securities business in the category of: Ο securities broker Ο securities dealer Ο investment advisor Ο securities underwriting Ο mutual
AEC Securities Public Company Limited. Between May 16, 2019 and September 21, 2020, AEC Securities Public Company Limited., as a securities broker, failed to put in place a sufficient and effective
KTB Securities (Thailand) Public Company Limited KTB Securities (Thailand) Public Company Limited as a securities broker failed to comply with the rules, conditions and procedures as specified in the
KTB Securities (Thailand) Public Company Limited KTB Securities (Thailand) Public Company Limited as a securities broker failed to comply with the rules, conditions and procedures as specified in the
Asia Wealth Securities Public Company Limited Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net capital (NC
undertaking of business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various
undertaking of business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various
business as securities broker, securities underwriting, prevention of using inside information, takeover, issuance and offer for sale of securities; (b) Standards of conduct, ethics and various guidelines