Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a
Limited ("TMBAM eastspring") failed to order or act duty resulting in TMBAM eastspring failed to put in place sufficient and effective system for managing mutual fund, market risk and liquidity
to order or act resulting in Beyond’s failure to put in place sufficient and effective risk management system which violated Section 113 of the Securities and Exchange Act B.E. 2535 amended by the
system of which preventive measure and arrangement which are investing in Bill of Exchange, lending, investing in listed company without analysis and effective risk management. Moreover, Beyond invested in
procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems’ impact on the business operation of
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to put in place a sufficient and effective systems of operation, control and risk management of derivatives broker which violated section 113 of
Mr. Win Udomrachtavanich Mr. Win Udomrachtavanich, a former chairman of Risk Management Committee, who is responsible for the operation of KTBST Securities Public Company Limited ("KTBST"
Mr. Nattapong Na Ranong Mr. Nattapong Na Ranong, a former commissioner of Risk Management Committee, who is responsible for the operation of KTBST Securities Public Company Limited ("KTBST"
Mr. Chatri Sophonvanich Mr. Chatri Sophonvanich, a former commissioner of Risk Management Committee, who is responsible for the operation of KTBST Securities Public Company Limited ("KTBST
Zipmex Company Limited During May 8, 2022, to July 20, 2022, Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, induced its own customers to deploy