(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
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
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
Asia Wealth Securities Public Company Limited Between June 4, 2020 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, engaged in an act which may cause damage or
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
Glory Prosperity (Thailand) Co., Ltd. Glory Prosperity (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted
World Trading Prosperity Co., Ltd. World Trading Prosperity Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such
WSD Financial (NZ) Ltd. WSD Financial (NZ) Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343 of the Penal Code
Mr. Suwat Eiewaksorn Mr. Suwat Eiewaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation
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