Limited (“GLOBAL”) through the securities trading accounts of two persons and clearing such transactions for Mr. Witoon’s benefits in such a way that taking advantage of others by using non-public
Limited (“GLOBAL”) through his securities trading account and clearing such transactions for Mr. Witoon’s benefits in such a way that taking advantage of others by using non-public information material to
information to sell IFEC shares, to pay civil penalty and compensation for the benefits gained from committing the offense. However, Suphanan did not agree to comply with the civil sanction. Later, on 27
XJ International Holdings Co., Ltd. XJ International Holdings Co., Ltd. (“XJ”) failed to prepare and submit a report on events that have or may have an impact on the rights and benefits of securities
’ assets shall be reconciled every business day to ensure accurate and updated records of clients’ assets; and 3) Seeking benefits from clients’ assets: Seeking benefits from clients’ fiat money shall be
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
whole amount of the benefits from the fund after the resignation while his or her membership continues for a period specified in the fund?s article. In addition to the abovementioned, the SEC will propose
License Agreement and a Subcontract Agreement with Digital Dream Company Limited, which were unintentional transactions. However, the transactions were made to transfer benefits to Mr. John Worrall D'