and entered into derivatives contracts whose underlyings were the securities price of such companies while the companies’ draft financial statements were being recorded in the EY information system
manager position of another audit group. Mr. Warot and Ms. Jeeranan jointly purchased securities and entered into derivatives contracts whose underlyings were the securities price of such companies while
failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are
assets The client’s assets are used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. SEC Act S.283 Settlement
Singapore and/or other affiliated companies as designated, effective from 8 May 2022. According to The Securities and Exchange Commission ("SEC")'s findings, Zipmex Thailand clients'
; 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