concerning the value of securities or the suitability of investing in those securities and managing funds of a person or group of persons to acquire benefit from securities in consideration of a fee or other
securities or the suitability of investing in those securities of a person or group of persons to acquire benefit from securities in consideration of a fee or other remuneration, which was committed through
Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. operated derivatives broker businesses in Thailand without proper licenses granted. Such action was deemed a violation of Section 343
procedures as specified in the notification of the Capital Market Supervisory Board by engaging in any other business which is not a licensed securities business without the Capital Market Supervisory Board’s
Wang Lee Global Market Co., Ltd. Wang Lee Global Market Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted. Such
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to appoint new personnel having qualifications as specified in Notification of the Capital Market
?) within 27 July 2019 as specified by the notification of the Capital Market Supervisory Board. However, PRIME prepared and submitted Form 56-1 interrim on 16 October 2019 which failed to prepare and submit
31 March 2020 as specified by the notification of the Capital Market Supervisory Board. However, BRR prepared and submitted the Annual Registration Statements 2019 (Form 56-1) on 1 April 2020 which is
2 March 2020 as specified by the notification of the Capital Market Supervisory Board. However, AJA prepared and submitted the financial statement for the year 2019 within 9 March 2020 which failed