Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such

persons to manipulate the price and trading volume of UMI shares by trading such shares continuously in concealment through several trading accounts to the point where the normal market condition became

(UMI) shares by trading such shares continuously in concealment through several trading accounts to the point where the normal market condition became affected during 9 January - 28 February 2013. The

) shares by trading such shares continuously in concealment through several trading accounts to the point where the normal market condition became affected during 9 January - 28 February 2013. The public

Saxo Capital Market Pte.,Ltd. Saxo Capital Market Pte.,Ltd. (Saxo) colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee

audited financial statements for Q3/2020 and an interim management discussion and analysis (MD&A) for Q3/2020 within the period specified in the notification of the Capital Market Supervisory Board as a

submit the accurate financial statements and financial reports within the period of time specified by the Capital Market Supervisory Board as follows : (1) financial statement for the year 2019 (2) the

submit the accurate financial statements and financial reports within the period of time specified by the Capital Market Supervisory Board as follows : (1) financial statement for the year 2021 and (2

failure to prepare and submit the annual report for the year 2019 and 2020 (Form 56-2) to the SEC Office within the period specified by the notification of the Capital Market Board, resulted from the

year 2021 to the SEC within the specified period by the notification of the Capital Market Board. Criminal Complaints The statute of limitations ran out. SEC Act S.56(2) Criminal Complaint Filed with an