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
to order or act duty resulting in Beyond’s engagement in any other business which is not a licensed securities business without permission from the Capital Market Supervisory Boards approval which
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
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
trading such share which was not consistent with normal market conditions in order to lure general public to trade such share. SEC Act S.243(2) Settlement Committee Meeting No. 3/2016 Settlement
acted as follows: - 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS"); - 23 June 2014
2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS"); - 23 June 2014 to 9 January 2015 joined with
: - 12 December 2013 to 27 November 2014 joined with other 22 persons manipulating the share price of News Network Corporation Public Company Limited ("NEWS"); - 21 March 2014 to 3 June