scrap. This resulted in AMAC’s 2008 and 2009 financial statements to show inaccurate financial condition and operational results in order to mislead the public; in contravention of and shall be liable to
administrative panel or the SEC, as the case may be, for commencing the administrative proceedings under this Chapter. 3 Clause 7.1 The department in charge as assigned by the SEC Office to perform operational
hydrated lime), calcium carbonate CaCO3, trading of lime and magnesium derivative products, machinery and engineering services and equipment. In the first half of 2017 compared with first half of 2016, total
the Company had resolved the resolution to the Company that it shall cease metals trading business at the end of the first quarter of 2019. (“Discontinued operation”) Padaeng Industry Public Company
ZMICO had a substantial increase in brokerage commission fee from both higher market trading volume and soaring market share from 1.88% in 2019 to 2.16% in this quarter. In addition, the strategies to
business, conducting in the business of mobile phone distribution and its accessories, has adjusted the operational strategy to focus on creating operating profits under the competitive situation and the
Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of
) “specific advice” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1 Operational Control _____________
Rules in Detail related to Proprietary Trading of Intermediaries