. Nonetheless, she neither examined KYC/CDD documents of the client and the beneficial owner, nor recorded the beneficial owner's identity. In this case, the beneficial owner was an executive and a shareholder of
have investigated the Group’s and the Company’s processes and procedures over the recognition of advertising revenues. As a result, the management have noted that some previously recognised advertising
SEC investigated further and found that Mr. Konoshita ordered Group Lease Holding Co., Ltd. (GLH), a subsidiary of GL based in Singapore, to issue loans to several foreign companies.Evidence showed that
complaint from an investor and further investigated the case. It was revealed that she failed to make a risk tolerance assessment before soliciting the investor to buy units of mutual funds.In addition, {B
securities company?s report on Pongsa?s alleged defrauding of client assets during 2005-2007, the SEC investigated further into the case and found that Pongsa had transferred securities from a client?s account
SECC Chairman Sompong Witthayaraksan had reportedly disappeared and fled the country in November 2008, the SEC investigated into the case and found that as of December 15, 2008 SECC inventory recorded
market business during the period he is prosecuted. In addition, the SEC investigated the Investment Committee of Solaris Asset Management Co., Ltd. in authorizing the mutual fund to invest in debt
…………………………………………………………… 2 Certification of the Accuracy of Information I, as an authorized signatory of the issuer, have duly examined the information contained in this registration statement, appendices and attachments
or giving any advice to the client, he signed such selling order form in the capacity of an investment consultant. In addition, he neither examined the transaction nor requested for additional
for the digital asset operating licenses.SEC examined information of Southeast Asia Digital Exchange Co., Ltd. (SEADEX) and found that SEADEX has been operating a digital asset exchange before the