paragraph 1 of the SEA. As the accused committed the several distinct and different offences, the Court inflicted the penalty prescribed for each offence as follows: (1) For a count of failure to submit the

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

Court ruled against the accused for violating Section 56, Section 274 paragraph 1, and Section 300 of the SEA. As the accused committed the several distinct and different offences, the Court inflicted the

investment advisory company, 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

failure to order or act according to the duties as aresult, Between February 23, 2021 and May 25, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to maintain the net

. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures