Company: KPEA
Filing Date: 2025-01-14
Form Type: 10-K
Source: 0001493152-25-002124
Chunk: 38

Company: Kun Peng International Ltd.
Filing Date: 2025-01-14
Form: 10-K
Item: Item 3
Chunk 38
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 the person, or of any partnership, corporation, or business
    association of which he or she was a general partner or executive officer, either at the time of the bankruptcy filing or within
    two years prior to that time;

    ●
    been
    subject to any order, judgment, or decree, not subsequently reversed, suspended, or vacated, of any court of competent jurisdiction
    or federal or state authority, permanently or temporarily enjoining, barring, suspending, or otherwise limiting his or her involvement
    in any type of business, securities, futures, commodities, investment, banking, savings and loan, or insurance activities, or to
    be associated with persons engaged in any such activity;

    ●
    been
    found by a court of competent jurisdiction in a civil action or by the Securities and Exchange Commission 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;

    ●
    been
    the subject of, or a party to, any federal or state judicial or administrative order, judgment, decree, or finding, not subsequently
    reversed, suspended, or vacated (not including any settlement of a civil proceeding among private litigants), relating to an alleged
    violation of any federal or state securities or commodities law or regulation, 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 or wire fraud or fraud in connection with any business entity; or

    ●
    been
    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.

Except
as set forth in our discussion below in “Certain Relationships and Related Transactions,” none of our directors or executive
officers has been involved in any transactions with us or any of our directors, executive officers, affiliates, or associates