? intention and brought about disputes between the clients and the investment consultants as well as the securities firms. Therefore, the SEC urges collaboration among investors not to make such authorization
Securities and Exchange Act of 1992 in conjunction with Sections 86 of the Criminal Code. The five offenders had expressed their initial intention to enter settlement procedure, but later failed to do so
1-31, 2007, respectively. Five more suspects relevant to the cases expressed an initial intention to enter the settlement procedure. The SEC will announce the settlement results in due course. The
prepared incorrect accounts with intention to deceive others about those fraudulent actions, violated Sections 307, 308, 311 in conjunction with Section 313, and Section 312(2)(3) of the Securities and
had attempted several times to collect the installment as RF Vision defaulted in the due payment at the 1 st , 2 nd installment and cheque has been bounced and intention to repay is now become uncertain
being ready to manage funds for others, with the intention of investing in derivatives, for profit and has been licensed or registered under this Act, excluding those derivatives fund managers with the
a manner that misled the public about the price or trading volume of the securities. They placed orders continuously with the intention to cause the price or trading volume to be inconsistent with
financial service users to facilitate the financial sector’s smooth compliance with the Personal Data Protection Act and the achievement of the intended outcomes in accordance with the true intention of
their intention to sell shares shall be entitled to such dividend payment or any other rights of GLOW.) In this regard, once the share purchase transaction is completed, the Company will inform the