executive in a securities issuing company between 30/04/2026 and 29/10/2028 - a reimbursement of investigative expenses in an amount of 32,037.00 Baht SEC Act (the fifth
executive in a securities issuing company between 31/10/2024 and 29/04/2026 - a reimbursement of investigative expenses in an amount of 126,279.00 Baht SEC Act (the fifth
DBS Vickers Securities (Thailand) Co.,Ltd. Between May 28, 2019 and May 31, 2019, June 4, 2019 and June 7, 2019 and June 10, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and
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
Miss Manee Khemthong Between December 21, 2018 and June 1, 2020, Miss Manee Khemthong, at the time incident an Finance & Accounting Director responsible for calculated the net capital of AEC
AEC Securities Public Company Limited Between December 21, 2018 and June 1, 2020 AEC Securities Public Company Limited , as a securities and derivatives broker, failed to maintain the net capital
AEC Securities Public Company Limited Between December 28, 2018 and May 25, 2020, AEC Securities Public Company Limited, as a securities and derivatives broker, failed to maintain net capital in
Bitkub Online Company Limited Between January 1, 2021 and July 31, 2021, Bitkub Online Company Limited (“Bitkub”), a digital asset exchange, kept customers’ digital assets in digital wallets
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