Jordan or Eric Jack Jordan as PPI director and personal capacity and (3) Gary Bradford for jointly operating securities business without license. The SEC received a complaint from a foreign investor
PT Millennium Penata Futures, and Kasemsak Sirisrisornchai, a director of J.R.A. Business Center Ltd. This follows complaints indicating that the aforesaid firms represented themselves to the general
Ounjai, TLCA Director said that ?TLCA has been one of the key players that fully supports listed companies in raising their corporate governances for years. This in turn helps strengthen market confidence
discussion include Datuk Ranjit Ajit Singh, Chairman of the Securities Commission, Malaysia, Mr. Pyoung-ho Shin, Executive Director of Korea Exchange Inc., and Mr. Pongsak Lothongkom, CEO of SVI Plc. The other
customer who is listed as a designated person or who has or had conducted transactions with such a person. Failure to do so may result in criminal penalty. In addition, a director, a manager, or a person
market personnel and lack qualifications for the director and executive positions of issuing firms throughout the complaint period. Arada?s investor contact approval is also revoked,? said SEC Deputy
, therefore, filed complaint against {A}, Managing Director, and Supatra Sripaiboon (now changed to Supanit Sripaiboon) or Ploy, marketing officer, who jointly operated or facilitated unlicensed derivatives
each; (3) The 2nd defendant and the 3rd defendant are barred from serving as a director or executive in a securities issuing company or a securities company for 10 years; and (4) All defendants shall
defendant and the 3rd defendant are barred from serving as a director or executive in a securities issuing company or a securities company for 10 years; and (4) All defendants shall jointly pay a