, Their action were deemed a violation of Section 312 of the SEA. Moreover, their actions were also considered as syphoning TUCC money for the benefits of themselves and others in violation of Sections 307
action were deemed a violation of Section 312 of the SEA. Moreover, their actions were also considered as syphoning TUCC money for the benefits of themselves and others in violation of Sections 307, 308
in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the responsible underwriter is prohibited to prevent such persons from taking unfair
orders, trading securities on behalf of client, and making securities trading decisions for the client's benefit without the client's orders were in violation to the Notifications of Capital Market
licensed to operate securities businesses in the category of mutual fund management and investment advisory nor licensed to operate derivatives business, his actions were in violation of the Securities and
underwriting of TAKUNI and CCN securities, used nominee accounts to subscribe and receive allocated shares for patrons of such companies.Such conduct was in violation of the rule whereby securities selling or
subscribe and receive allocated shares for patrons of such companies.Such conduct was in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the
client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
congratulations on the 132nd Anniversary of the Ministry of Justice, by donating to the Justice Fund helping people in legal proceedings, application for temporary release of the accused or defendant, violation