or the SEC: O Yes (please specify) For example, date of the incident……….. Details of such incident ……… ……………………………………………………... (attachment) (if any) O No (9) Was reasonably suspected of being lack of

submitted to the Office or the SEC: O Yes (please specify) For example, date of the incident……….. Details of such incident ……… ……………………………………………………... (attachment) (if any) O No (9) Was reasonably suspected

) a policy prohibiting the use of unauthorized software; (2) preventive and detective controls of the use of unauthorized software and known or suspected malicious websites; (3) installation and regular

software; (2) preventive and detective controls of the use of unauthorized software and known or suspected malicious websites; (3) installation and regular update of malware detection software, as well as

G.L.E. (Thailand) Co. Ltd. G.L.E. (Thailand) Co. Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of

the company. The public prosecutor issued a prosecution order against the alleged offender; however, the alleged offender escaped and an arrest warrant was issued to bring the alleged offender to trial

C.N.B.C. (Thailand) Co., Ltd. C.N.B.C. (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted violating Section

., Ltd. in 2004. The public prosecutor issued a prosecution order against the alleged offender; however, the alleged offender escaped and an arrest warrant was issued to bring the alleged offender to trial

Data Resources Asia Co., Ltd. Between July 2004 and 17 December 2004, Data Resources Asia Co., Ltd. with other alleged persons operated securities brokerage business, soliciting foreign clients to

Mr. Robert Edward Jowett Between July 2004 and 17 December 2004, Mr. Robert Edward Jowett with other alleged persons operated securities brokerage business, soliciting foreign clients to invest in