Kasikornbank Public Company Limited Between May 30, 2021 and July 18, 2023 Kasikornbank Public Company Limited (“KBANK”) as a securities underwriter, failed to comply with the rules, conditions and
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
in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act
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
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for selling and buying
prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office. This case is expired. SEC Act S.106
, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management
, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system
underwriter failed to comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for
comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective Operation and Business