Following investors’ complaints and SEC’s further investigation, it was found that during 2013 – early 2015, a group of persons opened a learning course on the topic of technical analysis and gave
aided and abetted Devere & Partners and Mr. Ian McIntyre by allowing them to use the name and email of Broadgate for undertaking such unlicensed business.Actions of the three persons above violated
evidence, complaints from 10 securities firms asking for legal actions against a number of persons, allegedly deceiving and defrauding the companies of the securities trading money, causing damage to the
accounts started and increased considerably in volume during the period when the acquisition of KARAT shares for the purpose of business takeover became apparent. The four persons obtained over B10 million
operators and related persons as follows: (1) Seandar Inc. (or Seandar, Seandar Limited, Seandar Inc. Limited, Seandar (Asia) Ltd., Seandar Europe, Seandarfx) and Matthew Christensen for operating unlicensed
} Securities Plc., as well as {D}, {E} and {F}, for manipulating RICH share price.With the referral from the Stock Exchange of Thailand on irregular trading in RICH shares by a group of persons from May 10 to
Investigation (DSI) for (1) failing to perform duties responsibly, carefully and honestly, (2) seeking unlawful gain for himself or other persons causing damage to the company, and (3) committing or permitting
, without derivatives fund management license, had jointly managed funds for others for profits from derivatives investment. In so doing, they solicited and invited persons who wanted to invest in
listed company requires different identification documents from the shareholders at the AGM, especially those who are foreign juristic persons. For example, some companies may require a certificate from a
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the