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
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
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
Mr. Akalarp Yimwilai Mr. Akalarp Yimwilai, the former director and Chief Executive Officer of Zipmex Company Limited ("Zipmex"), who is responsible for the operation of Zipmex, failed to
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
website was inaccurately and inconsistently presented to investors, the general public and the SEC. For example, the website did not show the trading prices for coins that were traded at low prices or
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