Picnic Corporation Public Company Limited Picnic Corporation Public Company Limited (PICNI), a securities issuer which is proceeding the rehabilitation procedure under the Bankruptcy Law and is

sufficient and effective system for Know Your Customer and Customer Due Diligence : KYC/CDD procedure between October 4, 2018 and April 11, 2022 which violated section 133 paragraph 2 of the Securities and

Kannithi Aviation Company Limited Kannithi Aviation Company Limited failed to prepare and submit 10 results of the bill of exchange sale report to Securities and Exchange Commission Office later than

Thanathip Consult Company Limited Thanathip Consult Company Limited failed to prepare and submit 10 results of the bill of exchange sale report to Securities and Exchange Commission Office later than

Customer Due Diligence : KYC/CDD procedure. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022

notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113

information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113

Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to

Upbit Exchange (Thailand) Company Limited Between February 18, 2021 and November 21, 2021, Upbit Exchange (Thailand) Company Limited, a digital asset exchange and a digital asset broker, prepared and

January 26, 2015, the Bangkok South Criminal Court found an defendant was death, the right to prosecute shall be extinguished pursuant to section 39(1) of Code of Criminal procedure. The Court disposed of