Kannithi Aviation Company Limited Kannithi Aviation Company Limited failed to prepare and submit 10 results of the bill of exchange sale report to Securities and Exchange Commission Office later than
Thanathip Consult Company Limited Thanathip Consult Company Limited failed to prepare and submit 10 results of the bill of exchange sale report to Securities and Exchange Commission Office later than
truthful report of the net capital to the office of Securities and Exchange Commission. SEC Act S.109 Settlement Committee Meeting No. 2/2021 Settlement Committee Order No. 15/2021 Dated 09/06/2021
truthful report of the net capital to the office of Securities and Exchange Commission. SEC Act S.109 Settlement Committee Meeting No. 1/2023 Settlement Committee Order No. 9/2023 Dated 13/01/2023
program basis without providing its securities for credit rating prior to the offer for sale of the securities which is in violation of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement
Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) failed to prepare and submit results of the structured debenture sale report to Securities and Exchange Commission
and February 2, 2022, later than the period specified by the Securities and Exchange Commission. SEC Act S.64 paragraph 2 Settlement Committee Meeting No. 6/2022 Settlement Committee Order No. 104
prepare and submit 10 results of the bill of exchange sale report within the period as specified by the Securities and Exchange Commission SEC Act S.300 in conjunction with 64 paragraph 2 Settlement
the Securities and Exchange Commission. However, Kannithi Aviation Company Limited reported the 10 results of the sale report to the SEC Office later than the period specified by the notification of the
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to maintain the net capital (NC) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange