e-service Online Submission See canceled document Derivatives Agent >> Reporting Requirements Type Title Section See Document Status Notified Date Effective Date 1. Circular SEC. Nor Por. (Wor
found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and
investment consultant for 6 months. Owing to the fact that {A}'s approved securities investment consultant status only lasts until December 31, 2014 which is less than 6 months, the suspension was then imposed
addition, the SEC revoked his status as an approved capital market investment consultant for using client securities trading account to trade securities for himself; as well as will not consider his
( ) Subscription in excess of rights offering ( ) Exercise of conversion rights ( ) By way of inheritance 2.2 ( ) Commencement of status of a concert party ( ) Termination of status of a concert