compliance unit (Head of Compliance) However, KWI appoint the highest level responsible person in the compliance unit on 5 September 2023. SEC Act S.113 Settlement Committee Meeting No. 3/2024 Settlement
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
derivative contracts in their accounts of a securities company, in cooperation with Mr. Narathip Lohaweroj and Mr. Torpong Thammasombat, investment consultants of the securities company and Miss Skonwan
accounts of a securities company, in cooperation with Mr. Narathip Lohaweroj and Mr. Torpong Thammasombat, investment consultants of the securities company and Miss Skonwan Paruang had the duty to contact
calls, SMS, and Line application with a view for investors to trade derivative contracts in their accounts of a securities company, in cooperation with Mr. Torpong Thammasombat, an investment consultant
, telephone calls, SMS, and Line application with a view for investors to trade derivative contracts in their accounts of a securities company, in cooperation with Mr. Narathip Lohaweroj, an investment
for investors to trade derivative contracts in their accounts of a securities company, in cooperation with Mr. Narathip Lohaweroj and Mr. Torpong Thammasombat, investment consultants of the securities
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of
, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system
causing the coin can only trade on Bitkub’s exchange and experiencing a very unusual price adjustment. Since Bitkub’s compliance system failed to supervise the product department to monitor the properties