but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed
EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH
Supervisory Board by acquiring ordinary shares of CPT Drive and Power Public Company Limited (“CPT”), which resulted in crossing the 25 percent threshold of the total voting rights of the business, without
acquiring ordinary shares of CPT Drive and Power Public Company Limited (“CPT”), which resulted in crossing the 25 percent threshold of the total voting rights of the business, without complying with the
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
the tender offer of CPT Drive and Power Public Company Limited (“CPT”), failed to comply with the regulations as specified by the Capital Market Supervisory Board by assisting or facilitating the group
misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed
drive up prices, and submitting buy orders during the pre-opening or closing periods to manipulate opening or closing prices. The specific instances of manipulation occurred during the following periods