from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
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inaccurate financial positions in the financial statements, e.g. pseudo capital increase, accounting records without supporting factual evidence, inaccurate investment reports, and overexaggerated liquid
SEC’s proceedings, and records or any other past demeanors which indicate inappropriateness to be personnel in the capital market business. Investors are strongly advised to immediately check mutual
securities investment records and income statement. His wrongdoings were in violation of Clause 2 of Section 281/2 in conjunction with Sections 89/7, 307, 308, 311, 312, and 313 of the SEA. With his confession
; and records or past demeanors indicating unsuitability to serve as personnel in capital market businesses. The SEC emphasizes that investors should regularly review their unitholding statements and
files the Registration Statement and draft prospectus together with filing the application to obtain approval, it shall be deemed that the submitted Registration Statement is the evidentiary documentation
financial position; (2) The management company has no sign of misconducts or no records which make it inappropriate for the company to expand its business by way of establishing a branch office or which may