investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and

Asphere Innovations Public Company Limited Asphere Innovations Public Company Limited (“AS”) offered newly issued securities to directors or employees which is not in compliance with rules

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

PHILLIP Securities (Thailand) Public Company Limited Between Feburary 23, 2021 and May 2, 2024, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, has applied

PHILLIP Securities (Thailand) Public Company Limited Between June 7, 2021 and November 21, 2023, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, assigned

PHILLIP Securities (Thailand) Public Company Limited Between August 27, 2019 and December 26, 2023, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, the

BBL Asset Management Company Limited Between January 27, 2023 and October 28, 2024 BBL Asset Management Company Limited as a mutual fund management company, failed to comply with the rules

Kasikornbank Public Company Limited Between August 30, 2021 and July 18, 2023 Kasikornbank Public Company Limited (“KBANK”) as a securities underwriter, failed to comply with the rules, conditions

DAOL Securities (Thailand) Public Company Limited Between October 1, 2022 and July 10, 2023, DAOL Securities (Thailand) Public Company Limited, accept purchasing or selling orders from customers

Krungthai XSpring Securities Company Limited Between November 14, 2022 and August 9, 2023 Krungthai XSpring Securities Company Limited ("KTX") as a securities underwriter, failed to comply