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

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

of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3

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

(JAS), by give a consent Mr. Pete in using his securities trading account to purchase Jasmine Telecom Systems Public Company Limited (JTS) shares by utilizing the inside information about The Q3/2016

misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed