The following document is an excerpt from a form 10-K filed on 01/28/2014 by ROYALE GLOBE HOLDING INC. with the United States Securities and Exchange Commission. To view the complete, original document, click here or visit http://www.sec.gov
DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE.
Set forth below are the present directors and executive officers of the Company. Note that there are no other persons who have been nominated or chosen to become directors nor are there any other persons who have been chosen to become executive officers. There are no arrangements or understandings between any of the directors, officers and other persons pursuant to which such person was selected as a director or an officer. Directors are elected to serve until the next annual meeting of stockholders and until their successors have been elected and have qualified. Officers are appointed to serve until the meeting of the board of directors following the next annual meeting of stockholders and until their successors have been elected and qualified.
Director, Chairman of the Board, Treasurer, Chief Financial Officer
Tan Swe Poo
Director, Chief Executive Officer
Chaw Eng Neng
Director, Chief Operating Officer
Ng Wei Siong
Director, Chief Marketing Officer
Set forth below are brief accounts of the business experience during the past five years of each director, executive officer and significant employee of the Company.
Yupa Sathapornjariya, age 24, is a Thailand citizen. She earned a Bachelor's degree from Chiangrai Rajabhat University and Yuxi Normal University. From 2011 to 2012, she worked at ABB Place and from 2013 to present, she worked at Edison Thailand.
Tan Swe Poo, age 54, is a Malaysian citizen. He earned a number of higher level degrees including PhD and Masters from UK, US and Malaysian universities and has worked for more than 30 years as a businessman.
Chaw Eng Neng, age 30, a Malaysian citizen. He has involved in finance and banking industry experience having worked with CitiBank and thereafter HSBC in both the marketing and business development departments since 2002. Since year 2006 he has worked with a Multi-national Forex brokerage company from UK. Since 2010 he has been working with a Multi-national online forex brokerage as Vice-president. He is also an owner of Chinese restaurant chains.
Ng Wei Siong, age 30, a Malaysian citizen. He graduated from Inti College Nilai, Malaysia with a Diploma of Hospitality and Tourism in 2003. From 2004 to 2006, he was the Credit Card Sales Officer of HSBC Sales & Marketing Department. From 2006 to 2010, he was the independent distributor of RZ Corporation SdnBhd. From 2011 to present, he was a Forex Introducing Broker. He traded, invested and became introducing broker and master affiliate with few international brokerage house like FX Primus and Maxim Capital Ltd NZ.
There are no family relationships between any of our directors or executive officers.
Involvement in Certain Legal Proceedings
No executive officer or director has been involved in the last ten years in any of the following:
Any bankruptcy petition filed by or against any business or property of such person, or of which such person was a general partner or executive officer either at the time of the bankruptcy or within two years prior to that time;
Any conviction in a criminal proceeding or being subject to a pending criminal proceeding (excluding traffic violations and other minor offenses);
Being subject to any order, judgment, or decree, not subsequently reversed, suspended or vacated, of any court of competent jurisdiction, permanently or temporarily enjoining, barring, suspending or otherwise limiting his involvement in any type of business, securities or banking activities;
Being found by a court of competent jurisdiction (in a civil action), the SEC or the Commodity Futures Trading Commission to have violated a federal or state securities or commodities law, and the judgment has not been reversed, suspended, or vacated;
Being the subject of or a party to any judicial or administrative order, judgment, decree or finding, not subsequently reversed, suspended or vacated relating to an alleged violation of any federal or state securities or commodities law or regulation, or any law or regulation respecting financial institutions or insurance companies, including but not limited to, a temporary or permanent injunction, order of disgorgement or restitution, civil money penalty or temporary or permanent cease-and-desist order, or removal or prohibition order, or any law or regulation prohibiting mail, fraud, wire fraud or fraud in connection with any business entity; or
Being the subject of or a party to any sanction or order, not subsequently reversed, suspended or vacated, of any self-regulatory organization (as defined in Section 3(a)(26) of the Exchange Act, any registered entity (as defined in Section 1(a)(29) of the Commodity Exchange Act), or any equivalent exchange, association, entity or organization that has disciplinary authority over its members or persons associated with a member.
Board Committees and Audit Committee Financial Expert
We do not currently have a standing audit, nominating or compensation committee of the board of directors, or any committee performing similar functions. Our board of directors performs the functions of audit, nominating and compensation committees. As a public company with no or nominal operations, no member of our board of directors qualifies as an "audit committee financial expert" as defined in Item 407(d)(5) of Regulation S-K promulgated under the Securities Act.
As of October 31, 2013, we did not effect any material changes to the procedures by which our shareholders may recommend nominees to our board of directors. We have not established formal procedures by which security holders may recommend nominees to the Company's board of directors.
Section 16(a) Beneficial Ownership Reporting Compliance
Section 16(a) of the Securities Exchange Act requires our executive officers and directors, and persons who own more than 10% of our common stock, to file reports regarding ownership of, and transactions in, our securities with the Securities and Exchange Commission and to provide us with copies of those filings. Based solely on our review of the copies of such forms received by us, or written representations from certain reporting persons, during fiscal year ended October 31, 2013, our officers, directors and greater than 10% percent beneficial owners timely filed all reports required by Section 16(a) of the Securities Exchange Act except that Great Mission Inc, Yupa Sathapornjariya, Tan Swe Poo , Chaw Eng Neng and Ng Wei Siong have not filed their Form 3,
Code of Ethics
As a public company with no or nominal operations, we have not adopted a code of ethics. We intend to adopt a code of ethics for our senior officers, including our principal executive officer, principal financial officer, principal accounting officer or controller and any person who may perform similar functions as we acquire an operating business or consummate a business opportunity.