to buy and sell Filter Vision Public Company Limited (“FVC”)’s shares in a manner that manipulated FVC’s share price. This behavior constituted dishonest and unethical conduct, and failed to properly
person who has authorized the management of the private fund using knowledge and competence as a professional. SEC Act S.134 paragraph 2 and paragraph 3 in conjunction with 133 paragraph 1 Criminal
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
Company Limited ("IFEC"), acquired the knowledge from the Board of Directors Meetings No. 11/2016, held on 1 November 2016, that IFEC faced a problem with insufficient cash flow to pay off its
experienced experts to render financial knowledge and advice as well as manage portfolios suitable for different clients’s profiles via three websites: www.giltedgeintl.com www.on-t3-line.com and www.online-t3
experts to render financial knowledge and advice as well as manage portfolios suitable for different clients’s profiles via three websites: www.giltedgeintl.com www.on-t3-line.com and www.online-t3.com In
and management to earn tax benefits and long-term returns. Gilt Edge also advertised that the company had a team of professional and experienced experts to render financial knowledge and advice as well
benefits and long-term returns. Gilt Edge also advertised that the company had a team of professional and experienced experts to render financial knowledge and advice as well as manage portfolios suitable
(SSI) via internet trading system to resulting in trading such share which was not consistent with normal market in order to lure general public to trade such share. SEC Act S.243(2) Settlement