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
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
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
Sunrise Equity Company Limited Sunrise Equity Company Limited (“Sunrise”) failed to comply with the regulations as specified by the Capital Market Supervisory Board by acquiring ordinary shares of
(LANNA) and Thai Agro Energy Public Company Limited (TAE), failed to comply with the regulations as specified by the Capital Market Supervisory Board by assisting or facilitating Sunrise Equity Co., Ltd
Market Supervisory Board by assisting or facilitating Sunrise Equity Co., Ltd. in preparing and submitting the report of the total amount of securities held (Form 246-2) and the statement of intent to make
the sale of debentures and equity, there were transfers of funds from STARK and its subsidiaries to other companies or individuals related to financial statement manipulation. The acts mentioned above