Securities Company Granted an Exemption from Application for Approval of Person to be Major Shareholder
control system for goals and objectives achievement, compliance with applicable laws and regulations, safeguarding of the assets from frauds and damage, and preparing reliable accounts and reports. The
Mr. James Gray Mr. James Gray, the management responsible for Antella Investment Inc., operated securities brokerage businesses without proper licenses granted. SEC Act S.301 Criminal Complaint
, unless permission has been granted by the Office to open or close its office at any other hours or days.
"Antella Investment" without proper licenses granted. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 05/06/2001
Mr. Suwat Eiewaksorn Mr. Suwat Eiewaksorn conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a
Glory Prosperity (Thailand) Co., Ltd. Glory Prosperity (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted
World Trading Prosperity Co., Ltd. World Trading Prosperity Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such
Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343