well as submit the special audit report to the SEC by October 7, 2013. Mill later requested the SEC for deadline extension to allow sufficient time for auditor to do the job. The SEC therefore granted an

to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that Zipmex has been failing to report a summary of the assignment of other persons to perform

approval criteria for auditors in the capital market but certain qualifications will be relaxed such as job title, audit experience and experience in giving opinion for financial reports.The consultation

derivatives exchange; “derivatives clearing house” means an entity licensed to operate business as a derivatives clearing house; “personnel in derivatives business” means: (1) a person who assumes a job for the

No. WHAUP-CS021/2017 2 October 2017 Subject: Notification of Information Memorandum of Related Party Transaction in Relation to Share Purchase and Taking Assignment of Claims in Loan To: President

assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth

") (Master Contract). This contract identified the subsidiary paying assignment fee to GISP, but this fee was transferred back to Mr. Aran. Later, the subsidiary entered into additional contract in

("GISP") (Master Contract). This contract identified the subsidiary paying assignment fee to GISP, but this fee was transferred back to Mr. Aran. Later, the subsidiary entered into additional

Limited ("GISP") (Master Contract). This contract identified the subsidiary paying assignment fee to GISP, but this fee was transferred back to Mr. Aran. Later, the subsidiary entered into

") (Master Contract). This contract identified the subsidiary paying assignment fee to GISP, but this fee was transferred back to Mr. Aran. Later, the subsidiary entered into additional contract in