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

Microsoft PowerPoint - SEC IC Slides for Unusual Transactions v4 Final 130324 26 มีนาคม 2567 โดย วารุณี ปรีดานนทท์ี ทปีรึกษาการกาํกบัดูแลกิจการ งานบริหารความเสียง ตรวจสอบภายใน ESG และ GRC ทปีรึกษากา

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

The SEC?s new appointments are as follows: Name of Executives New Assignment 1. Mrs.Paralee Sukonthaman 1/        Director, Enforcement Department Director, Broker-Dealer Supervision

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

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

") (Master Contract). This contract identified the subsidiary paying assignment fee to GISP, but this fee was transferred back to Mr. Aran. Later, the subsidiary entered into additional contract in