consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to

misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed

causing the coin can only trade on Bitkub’s exchange and experiencing a very unusual price adjustment. Since Bitkub’s compliance system failed to supervise the product department to monitor the properties

Zipmex Company Limited Zipmex Company Limited ("Zipmex"), a digital asset exchange and a digital asset broker, has been failing to report a summary of the assignment of other persons to

to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that Zipmex has been failing to report a summary of the assignment of other persons to perform

payment of subscribed shares as the consideration of the assignment of participation interests in Draugen Field and Gjøa Field in Norway to pay to Shell in accordance with the agreements regarding the

Mr. Soraj Asavaprapha While being a director of Jasmine International Public Company Limited (JAS), Mr. Soraj Asavaprapha failed to perform his duties with loyalty as a result of obtaining unusual

No. WHAUP-CS021/2017 2 October 2017 Subject: Notification of Information Memorandum of Related Party Transaction in Relation to Share Purchase and Taking Assignment of Claims in Loan To: President

assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth

the deficiencies found at both levels are a result of a few factors, such as shortage of human resource within the profession, improper job assignment, an audit planning that failed to respond to