AEC Securities Public Company Limited Between December 25, 2018 and May 22, 2020, AEC Securities Public Company Limited , as a securities and derivatives broker, failed to submitting an accurate and
Asia Wealth Securities Public Company Limited Between February 25, 2021 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to submitting an accurate and
DBS Vickers Securities (Thailand) Co.,Ltd. Between June 4, 2019 and June 7, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to submitting an accurate
SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 Settlement
assets or obtain unlawful gains for herself or other persons, causing damage to CIRKIT. the public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the statute of
information about the funds’ investment plans to trade securities for her personal or other persons’ gains (front running). The Criminal Court dismissed the lawsuit. SEC Act S.315 in conjunction with 311
using information about the funds’ investment plans to trade securities for his personal or other persons’ gains (front running). The criminal case is closed because the alleged offender died. SEC Act
company assets or obtain unlawful gains for himself or other persons, causing damage to CIRKIT. The public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the
unlawful gains for himself or other persons, causing damage to CIRKIT. the public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the statute of limitations ran out
unlawful gains for himself or other persons, causing damage to CIRKIT. the public prosecutor issued a prosecution order; however, attempt to arrest the accused failed and the statute of limitations ran out