”) through his securities trading account and clearing such transactions for Mr. Surasak’s benefits in such a way that taking advantage of others by using non-public information material to GLOBAL share price
information to sell IFEC shares, to pay civil penalty and compensation for the benefits gained from committing the offense. However, Suphanan did not agree to comply with the civil sanction. Later, on 27
XJ International Holdings Co., Ltd. XJ International Holdings Co., Ltd. (“XJ”) failed to prepare and submit a report on events that have or may have an impact on the rights and benefits of securities
fintech supervision and oversight. This framework was similar to those CSSF agreed with capital-markets watchdogs of Australia, Dubai and the United of Arab Emirates. This new agreement has expanded the
Bangkok, April 22, 2014 ? The SEC unveiled the Independent Audit Inspection Activities Report 2013 which reflected advancement of audit oversight in Thailand, underlined transparency in auditor
importance of prevention and suppression of crimes, from the beginning to the end of the process, for market oversight in the digital age. In this respect, SEC has set an enforcement direction that focuses
States) MarketProfessionals and Audit Oversight Mutual Fund Business Operators Registered Persons Wealth Advice for All A Settlor of an Infrastructure Trust A Trustee of An Infrastructure Trust Digital
) English (United States) MarketProfessionals and Audit Oversight Mutual Fund Business Operators Registered Persons Wealth Advice for All A Settlor of an Infrastructure Trust A Trustee of An Infrastructure