COMPLAINT Dimet 010-2019 June 12, 2019 Subject : Notification of investment in IGEN Energy Co., Ltd. and McTRIC Public Company Limited, Partial Business Transfer to the Subsidiary and Amendment of
reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27
representative in accordance with Section 100, with the SEC Office’s approval. Clause 2 A securities company shall proceed with a customer complaint as follows: (1) manage to have a customer complaint handling
105 2023 Criminal Fine File Criminal Complaint Securities/Digital Asset Business Operator Others Director of Company Unfair Securities Trading Activities Securities Issuance Offences* /Year 2022
complaint, regulators follow up. The complaint is often but not always adjudicated by FINRA • A regulator in every industry does different things, the entities we study are different than those in banking THE
issued such order; (6) having a demeanor constituting an offense under (3), which is a ground for the SEC Office to file a criminal complaint against such person with the inquiry official, and being under
that the fine is fully paid, the criminal prosecution shall be extinguished. Filing a complaint with inquiry official/DSI begins a criminal proceeding. The inquiry official will conduct further
to establish an appropriate internal control system. A complaint handling channel and a complaint handling procedures for individuals, both internal and external, to submit information or tips related