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

GMO-Z com Securities (Thailand) Public Company Limited GMO-Z com Securities (Thailand) Public Company Limited (“Z com Securities”) failed to maintain its net capital ratio (NCR) in accordance with

Maybank Securities (Thailand) Public Company Limited Between 27 October 2020 to 22 February 2021, Maybank Securities (Thailand) Public Company Limited as a Securities brokerage business has sold

M.L.Thongmakut Thongyai M.L.Thongmakut Thongyai chief executive officer who is responsible for the operation of Krungthai XSpring Securities Co., Ltd. (KTX) shall be liable for (1) KTX offered for

trading order or trading securities in such a way that misleads other persons regarding the price or volume of the securities trading and placing a securities trading order or trading securities on a

trading orders or trading MBAX’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities

LIBERATOR SECURITIES COMPANY LIMITED, Between November 18, 2022 to November 14, 2023, LIBERATOR SECURITIES COMPANY LIMITED, a company licensed Securities Brokerage, failed to comply with the rules

PHILLIP Securities (Thailand) Public Company Limited Between Feburary 23, 2021 and May 2, 2024, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, has applied

Krungthai XSpring Securities Company Limited Between November 14, 2022 and August 9, 2023 Krungthai XSpring Securities Company Limited ("KTX") as a securities underwriter, failed to comply

Maybank Securities (Thailand) Public Company Limited Between August 30, 2021 and October 2, 2024 Maybank Securities (Thailand) Public Company Limited ("MST") as a securities underwriter