derivatives broker, failed to maintain the net capital (?NC?) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. SEC Act S.97 Settlement

DBS Vickers Securities (Thailand) Co.,Ltd. Between May 29, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to maintain net capital

AEC Securities Public Company Limited Between December 21, 2018 and June 1, 2020 AEC Securities Public Company Limited , as a securities and derivatives broker, failed to maintain the net capital

AEC Securities Public Company Limited Between December 28, 2018 and May 25, 2020, AEC Securities Public Company Limited, as a securities and derivatives broker, failed to maintain net capital in

Asia Wealth Securities Public Company Limited Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net capital (NC

Asia Wealth Securities Public Company Limited Between March 26, 2021 and February 11, 2022, Asia Wealth Securities Public Company Limited, as a securities and derivatives broker, failed to maintain

Company Limited (SSC) shares. The Form 247-4 did not disclose that Mr. Charoen Sirivadhanabhakdi is the controlling person of SSNL who provides funding for SSNL’s tender offer of SSC shares. SEC Act S

(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

(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to comply with the rules of the Capital Market Supervisory Board when DBS failed to maintain the net capital which violated section 141 of the

Brokerage: Investment Units, 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