and disclose reports on the changes in his securities holdings (Form 59) to the SEC within the period from 2 September 2020 to 6 January 2023, as the case may be. However, he failed to prepare and

CPT Holding Co., Ltd. CPT Holding Co., Ltd. (“CPT Holding”) and two other legal entities ("group of offerors") failed to comply with the regulations as specified by the Capital Market

Saishin Energy LLC. Saishin Energy LLC. and two other legal entities ("group of offerors") failed to comply with the regulations as specified by the Capital Market Supervisory Board by

Real DC Co., Ltd. Real DC Co., Ltd. and two other legal entities ("group of offerors") failed to comply with the regulations as specified by the Capital Market Supervisory Board by

Beyond Securities Public Company Limited Beyond Securities Co., Ltd. (“Beyond Securities”), as the financial advisor for the tender offer of CPT Drive and Power Public Company Limited (“CPT”), failed

failed to comply with the rules, conditions and procedures stipulated in the relevant notification. In this regard, Bitkub did not provide customers with cryptocurrency training or cryptocurrency knowledge

assets The client’s assets are used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. SEC Act S.283 Settlement

changes to such holdings (Form 59) within Aug 16, 2022 and Nov 29, 2023. However, Mr. Santi prepared and disclosed the report (Form 59) to the SEC office on November 29, 2023 which means Mr. Santi failed to

requirements set out in Form 59. However, Miss Yeap Xin RHU failed to prepare and disclose the required reports within the timeframe specified by the SEC’s notification. SEC Act S.59 Settlement Committee

for her own benefit. However, she failed to submit a report on the change in her securities holding (Form 59) in such account to the SEC Office within the period specified under the Notification of the