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

Mr. Robert Edward Jowett Mr. Robert Edward Jowett as the director responsible for the operation of Data Resources Asia Co., Ltd. violated Section 301. The public prosecutor issued a prosecution order

Mr. Burim Chombhubol Between January 5, 2009 and March 27, 2009, Mr. Burim Chombhubol, T.U. Dome fund manager at that time, and Mr. Maris Tarab, former ING Funds managing director and T.U. Dome fund

Mr. Maris Tarab Between January 5, 2009 and March 27, 2009, Mr. Maris Tarab, then ING Funds managing director and T.U. Dome fund manager, and Mr. Burim Chombhubol, another former T.U. Dome fund

Zipmex Company Limited During September 15, 2021, to May 7, 2022, Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, kept and maintained digital assets

; digital assets in accordance with the notification of the SEC for 8 days. In this regard, TDX did not deposit customers' digital assets with digital asset depository service providers and keep the

Bitazza Company Limited Between December 26 to 31, 2023, Bitazza Company Limited ("Bitazza"), a digital asset broker, did not keep customers' digital assets in accordance with the

An unspecified person Destruction of the seals the competent officers made on the seized assets in connection with "Antella Investment". SEC Act S.304 Criminal Complaint Filed with an

Mr. James  Gray Removal of the assets seized by the competent officers through execution of their duties in connection with "Antella Investment Inc.". SEC Act S.305 Criminal Complaint

mutual funds and private funds which did not analyze and estimate the value of the IPO securities adequately and appropriately. SEC Act S.117 and 133 paragraph 2 Settlement Committee Meeting No. 3/2021