Mr. Graham Leslie Arthur Peveller Mr. Graham Leslie Arthur Peveller as the Director responsible for the operation of Chartered Asset Management Co.,Ltd., Bowen Reece Co., Ltd., Harvey Dunbar Co., Ltd
Renaissance Fund Management LTD. SEC Act S.106 Criminal Complaint Filed with an Inquiry Official Dated 21/06/2024
FL 2024 CO., LTD. FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) had duties to prepare and submit the Complaint report of Q2/2023 within JULY 17
Data Resources Asia Co., Ltd. Between July 2004 and 17 December 2004, Data Resources Asia Co., Ltd. with other alleged persons operated securities brokerage business, soliciting foreign clients to
Yingyai Group Co., LTD SEC Act S.33 Settlement Committee Meeting No. 4/2025 Settlement Committee Order No. 65/2025 Dated 30/05/2025
WSD International (Thailand) Co., Ltd. WSD International (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses
Mandawee Tour Co., Ltd. Mandawee Tour Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.33
Ronghui International Service Co., Ltd. Ronghui International Service Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC
SYNPHAET CO.,LTD Between December 2014 to December 2021, SYNPHAET CO.,LTD offer to sell newly issued securities in the category of Promissory Note (P/N) without approval from the SEC Office which is