jurisdictions can submit the filing under ASEAN Disclosure Standards. In case of private placement to institutional and high net worth investors, they can submit single filing form in English version.In addition

' securities trading accounts. They traded UKEM shares in concealment on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and volumes, causing

the securities trading reports for their customers by using trading order form (Form F8) despite those trading orders were not made in trading room. In addition, they failed to completely record a

{G}, they failed to record some of client trading orders correctly and completely.  In this regard, the SEC revealed their inappropriate actions and recorded such demerits for future reference if

banks, life insurance companies, if complied with the requirement on independent directors as prescribed by such other lead regulators, they will be deemed to have been appointed independent directors

futures trading agents. They advertised and solicited investing public to open gold futures trading account and make the trading transactions through website www.fortunebullion.com without obtaining license

of {B} {C} and {D} were in violation of Sections 243(1) in conjunction with 244 and 243(2) of the SEA in conjunction with Section 86 of the Penal Code.As they all agreed to enter the settlement

explanation to the SEC accordingly.       In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities

capital market personnel's malpractice / breach of professional conducts. They shall subsequently be revoked their approved status and the SEC will not consider their re-entering applications for a

, however, incorrect and caused damage to the Fund. The evidence, furthermore, indicated that they, with support of Bania and Suthapa, had falsified documents and evidence concerning money withdrawal to