client during the performance of duties. From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that {A} submitted securities trading orders before notifying a
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
/201712/17101199.pdf 6611pe.doc trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market
LIMITED SEC orders AIE and AI to cooperate with their auditors Form 56-1 : Annual Registration Statements ( 3 record(s) found) Name Year Receive Date Details 2S METAL PUBLIC COMPANY LIMITED 2023 25/03/2024
. Their financial and stock transactions were interconnected, while Mr. Suthee was also authorized to place trade orders in Mr. Peeranut’s securities trading account. During the incident period, Mr. Suthee
? former investor contact, {B}, had sent trading orders through the client's account without record and evidence of trading orders. His misconduct caused damage to the client and the firm dismissed him from
submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A
operates by matching orders or arranging for the counterparty or providing the system or facilitating a person who wishes to trade or exchange digital assets to be able to enter into an agreement or match
Facebook account, demonstrating an intention to provide services to customers in public. In this regard, there was no evidence indicating that purchase or sale orders were routed through any digital asset