Mr. Graham Leslie Arthur Peveller Mr. Graham Leslie Arthur Peveller as the Director responsible for the operation of Chartered Asset Management Co.,Ltd., Bowen Reece Co., Ltd., Harvey Dunbar Co., Ltd
Renaissance Fund Management LTD. SEC Act S.106 Criminal Complaint Filed with an Inquiry Official Dated 21/06/2024
FL 2024 CO., LTD. FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) had duties to prepare and submit the Complaint report of Q2/2023 within JULY 17
Data Resources Asia Co., Ltd. Between July 2004 and 17 December 2004, Data Resources Asia Co., Ltd. with other alleged persons operated securities brokerage business, soliciting foreign clients to
WSD International (Thailand) Co., Ltd. WSD International (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses
DBS Vickers Securities (Thailand) Co.,Ltd. Between May 22, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to put in place a
Bitkub Online Co., Ltd Between January 5, 2021 and January 24, 2021, Bitkub Online Co., Ltd (“Bitkub”), as a Digital Asset Exchange, consented a person who is not a director or executive of Bitkub to
Mandawee Tour Co., Ltd. Mandawee Tour Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.33
Ronghui International Service Co., Ltd. Ronghui International Service Co., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC
Glory Prosperity (Thailand) Co., Ltd. Glory Prosperity (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted