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

Mr. Win Udomrachtavanich Mr. Win Udomrachtavanich, a former Chairman of the Board, who is responsible for the operation of Daol Securities (Thailand) Public Company Limited ("Daol") failed

Limited without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546. In addition, the operation constituted public frauds contravening Section 343 and 83 of the Penal Code. On

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

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

ZipUp+, which is the service of Zipmex Pte. Ltd, and gained benefits from digital asset exchange fees. Additionally, such operation of Zipmex had no measure to protect the conflict of interest and to

Mrs. Pattera Dilokrungthirapop Between 22 May 2019 and 12 June 2019, Mrs. Pattera Dilokrungthirapop, the Chief Executive Officer who is responsible for the operation of DBS Vickers Securities

Mr. Rapi Pinijchob On November 23, 2014, Mr. Rapi Pinijchob, the former managing director, responsible for the operation of Rasa Property Development Public Company Limited (“RASA”), disclosed false