the company to rectify its financial condition to comply with the net fund maintenance rules as well as solve the issue of its improper and inadequate management and personnel structures and the case
assets in the capital maintenance reports; (2) had concealed business control power and lacked good corporate governance by allowing the person, who was neither a company’s director, executive, nor staff
Securities Plc., {C} of KT ZMICO Securities Co., Ltd., {D} and {E} of GT Wealth Management Co., Ltd., effective from October 12, 2012 and (2) publicly disclosed investment consultant {F}'s inappropriate
% of paid representative, Mr. Dato’ Marco Low Peng Kiat (“Dato’ Marco Low”), to be NDR’s director. In addition, the s THB or 118.53% of the Company’s NTA as of September 30, 2017. and more than 3% of net
information memorandum. In this regard, the Company and the Existing Shareholders shall further determine and prescribe details, conditions and/or terms in order to execute the relevant agreement(s) within
, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of the operational risk and the customer
system relating to operational management, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of
personal loan business to Boonterm kiosk’s Master Agents (MAs), sub-agents, MAs’ employees, and FSMART affiliated companies’ employees since the middle of December. The Company also offered CRM activities