KTB Securities (Thailand) Public Company Limited KTB Securities (Thailand) Public Company Limited as a securities underwriter failed to comply with the rules, conditions and procedures as specified

KTB Securities (Thailand) Public Company Limited KTB Securities (Thailand) Public Company Limited as a securities broker failed to comply with the rules, conditions and procedures as specified in the

DBS Vickers Securities (Thailand) Co.,Ltd. Between May 28, 2019 and May 31, 2019, June 4, 2019 and June 7, 2019 and June 10, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and

KTB Securities (Thailand) Public Company Limited KTB Securities (Thailand) Public Company Limited as a securities broker failed to comply with the rules, conditions and procedures as specified in the

DBS Vickers Securities (Thailand) Co.,Ltd. Between June 4, 2019 and June 7, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to submitting an accurate

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

DBS Vickers Securities (Thailand) Co.,Ltd. Between May 29, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to maintain net capital

Daol Securities (Thailand) Public Company Limited Between November 11, 2017 and May 17, 2021 Daol Securities (Thailand) Public Company Limited, a private fund management company, failed to comply

GMO-Z.com Cryptonomics (Thailand) Company Limited Between February 22, 2021 and July 31, 2021, GMO-Z.com Cryptonomics (Thailand) Company Limited, a digital asset exchange and a digital asset broker

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