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

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

Mr. Akalarp Yimwilai Mr. Akalarp Yimwilai, the Chief Executive Officer of Zipmex Company Limited ("Zipmex"), is responsible for the operation of Zipmex. His order or action resulted in the

Mr. Chamnan Chanapai, Chief executive officer for the operation of RAMKHAMHAENG Mr. Chamnan Chanapai, Chief executive officer for the operation of RAMKHAMHAENG HOSPITAL PUBLIC COMPANY LIMITED (“RAM

sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020

Mr. Anurag Thareratanavibool Mr. Anurag Thareratanavibool, chief executive officer, responsible for the operation of AI Energy Public Company Limited (?AIE?), shall be liable for AIE?s failure to