Mr. Chen Xiaoxiang Mr. Chen Xiaoxiang colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the
Mr. Xin Ye Mr. Xin Ye colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in violation of the Securities and
effective safeguards to reduce threats to independence to an acceptable level cannot be applied (consulting within the firm, with legal counsel or other parties). A.II Specific Policies and Procedures 1
unpaid fees. 19 Describe the firm’s policies and procedures for withdrawing from an engagement if effective safeguards to reduce threats to independence to an acceptable level cannot be applied (consulting
respondents, SEC has allowed more types of businesses within the four business groups to participate in a regulatory sandbox, as follows: (1) Intermediaries, i.e., securities investment advisory service
preparedness and response. Professor Dr. Surakiart Sathienthai, Advisory Vice Chairman and Executive Chairman of the Friends in Need (of “PA”) Volunteers Foundation, along with the Foundation Committee
Association under the Royal Patronage of His Majesty the King. Currently, she is a member of the SEC Takeover Panel (Legal Expert) and an executive at a legal consulting firm.
Mr. Alan Sydney Roy Lane Mr. Alan Sydney Roy Lane, the authorized director responsible for the operation of EMM Consulting Company Limited ("EMM"), shall be liable to the penalty as
Miss Ratanaporn Aoonta Miss Ratanaporn Aoonta, the authorized director responsible for the operation of EMM Consulting Company Limited ("EMM"), shall be liable to the penalty as provided
solicited opinions and suggestions from the Advisory Committee on Best Practices for Company Directors, a council composing of scholars and experienced corporate directors. The Thai IOD hopes that the