but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed
to order or act duty resulting in Beyond’s engagement in any other business which is not a licensed securities business without permission from the Capital Market Supervisory Boards approval which
compliance unit (Head of Compliance) However, KWI appoint the highest level responsible person in the compliance unit on 5 September 2023. SEC Act S.113 Settlement Committee Meeting No. 3/2024 Settlement
EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH
Asphere Innovations Public Company Limited Asphere Innovations Public Company Limited (“AS”) offered newly issued securities to directors or employees which is not in compliance with rules
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of
, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system
causing the coin can only trade on Bitkub’s exchange and experiencing a very unusual price adjustment. Since Bitkub’s compliance system failed to supervise the product department to monitor the properties
for IEC’s failure to prepare and submit an accurate annual report for the year (From 56-2) for the year 2018 in compliance with the rules specified in the notification of the Capital Market Supervisory