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
AEC Securities Public Company Limited. Between May 16, 2019 and September 21, 2020, AEC Securities Public Company Limited., as a securities broker, failed to put in place a sufficient and effective
(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
KTB Securities (Thailand) Public Company Limited Between December 16, 2016 and January 31, 2019 KTB Securities (Thailand) Public Company Limited as a securities broker engaged in act which may cause
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
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
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
Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343