material information that should have been disclosed in the form 56-1 One Report for the year 2022. Specifically, ALL had two significant legal disputes related to its financial status and business
The SEC’s investigation revealed that from the year 2022 to 31 March 2023 (the submission deadline of 56-1 One Report for the year 2022), ALL was involved in two legal disputes: (1) Two cases in the
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the notification of the Office when
conflicts and prevent potential labor disputes that could arise from unfair termination of employment. Moreover, Kitti’s continuous contributions have significantly spurred the company’s growth. In addition
turn to share knowledge and experience relating to the setting up of similar funds in their respective countries and how to handle investor complaints and manage disputes. During the panel discussion
that should have been recorded on audio tape were reported on a written trading order form instead. Evidence of trading order execution is critical and very useful, especially in case of disputes among
expense related to legal disputes of Gateway Development Co., Ltd. recorded in Q1/2018. ▪ An increasing participating profit from investment in associated companies and joint venture in Q1/2019 compared
taken into consideration. Said regulations shall include at least the following matters: (1) policies on prevention and handling of conflicts of interest; (2) adequate measures to prevent directors