Bitkub Online Company Limited Bitkub Online Company Limited (“Bitkub”), a digital asset exchange, failed to comply with the rules, conditions and methods of trading digital assets (trading rules
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
Beyond Securities Public Company Limited Between December 20, 2018 and April 15, 2021 Beyond Securities Public Company Limited, a securities company, failed to comply with the rules, conditions and
annual report did not comply with the notification of the Capital Market Supervisory Board. The rectified information was later submitted to the SEC Office on June 2, 2016. SEC Act S.56 and 199
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
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
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
notification the rules with which derivatives business operators shall comply. SECTION 19. The SEC Office shall have the power to order any derivatives business operator to submit reports or any other documents
notification the rules with which derivatives business operators shall comply. SECTION 19. The SEC Office shall have the power to order any derivatives business operator to submit reports or any other documents