depository service providers and store the assets in its cold wallets, digital wallets connected to the internet when conducting transactions only, in the proportion specified in the notification of the SEC

service providers and store the assets in its cold wallets, digital wallets connected to the internet when conducting transactions only, in the proportion specified in the notification of the SEC. DAB

DBS Vickers Securities (Thailand) Co.,Ltd. Between May 22, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to put in place a

posted SP sign by the Stock Exchange of Thailand (the SET), failed to prepare and submit the financial statements for the six-month period ended 30 June 2013 to the SEC Office and the SET within August 14

(the SET), failed to prepare and submit the financial statements for the year 2013 ended December, 2013 to the SEC Office and the SET within March 31, 2014. However, the financial statements were later

(the SET), failed to prepare and submit the annual registration statement for the year 2013 (Form 56-1, 2013) to the SEC Office and the SET within March 31, 2014. However, the Form 56-1, 2013 was later

Tongkah Harbour Public Company Limited Tongkah Harbour Public Company Limited (THL), a listed company which is posted SP and NC signs by the Stock Exchange of Thailand (the SET), failed to prepare

of Thailand (the SET), failed to prepare and submit the audited financial statements for the year 2015 ended December 31, 2015 to the SEC Office and the SET within March 31, 2016. However, the audited

in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act

AEC Securities Public Company Limited. Between May 16, 2019 and September 21, 2020, AEC Securities Public Company Limited., as a securities broker, failed to put in place a sufficient and effective