failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are
An unspecified person Destruction of the seals the competent officers made on the seized assets in connection with "Antella Investment". SEC Act S.304 Criminal Complaint Filed with an
Mr. James Gray Removal of the assets seized by the competent officers through execution of their duties in connection with "Antella Investment Inc.". SEC Act S.305 Criminal Complaint
Mr. Praphol Milindhachinda On 19 October 2015, Mr. Praphol Milindhachinda acquired of Filter Vision Public Company Limited (“FVC”)’s shares held in his securities trading account, as well as in the
to buy and sell Filter Vision Public Company Limited (“FVC”)’s shares in a manner that manipulated FVC’s share price. This behavior constituted dishonest and unethical conduct, and failed to properly
manipulating Filter Vision Public Company Limited (FVC)’s share price by purchasing and selling shares, resulting in a trading condition for FVC shares that was inconsistent with the normal market conditions
Orbix failed to keep customers' digital assets in accordance with the notification of the SEC for 121 days. In this regard, Orbix did not deposit customers' digital assets with digital asset
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
Bitkub Online Company Limited Between July 14 and 17, 2024, Bitkub Online Company Limited ("BO"), a digital asset exchange, did not keep customers' digital assets in accordance with