risk to customers' assets. The operation shall be obtained the approval from the SEC prior to the operation, but Zipmex did not do so. Accordingly, the act of Zipmex did not operate other than the
for different clients’s profiles via three websites: www.giltedgeintl.com www.on-t3-line.com and www.online-t3.com In case, none of the aforementioned entities had been licensed to operate securities
COMPANY LIMITED), instructed a group of former sales employees of GIFT to establish GLOOMMING GLOBAL COMPANY LIMITED (“GLOOMMING”) in order to operate a same business and in direct competition with
) documents containing details in relation to ASEAN Collective Investment Scheme to be offered for sale which shall have the same characteristics of the forms and list specified in the Registration Statement
experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified
financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records
has sound financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts
, documents and evidence to the Ministry of Commerce, SEC, SET government agency, and/or relating authority regarding the issuance and offering of newly issued shares, and the listing of the newly issued shares
business operation and personnel to ensure that such misconducts will not happen again. (3) Demonstrate that the applicant has at least the following operation systems which are ready for it to operate as a
to operate as a custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of