orders via mobile phone.Failure to keep a complete record of derivatives trading orders was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
information in materiality for client's investment decision making. Following a report on the client's complaint filed by the Ministry of Finance, the SEC further probed into the case and found that {A} gave
decisions and informed the client afterward. The {B} case was in response to a complaint lodged by a client. The SEC looked into the conversation records between {B} and the client and found that she was
tourists in 2017 to 1.02 million tourists in 2018, accosting for 23.70%. 5.2 Comparing and Analyzing Financial Statements (3 Year) 5.2.1 STATEMENT OF PROFIT OR LOSS AND OTHER COMPREHENSIVE INCOME Page 8
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market
An unspecified person Destruction of the seals the competent officers made on the seized assets in connection with "Antella Investment". SEC Act S.304 Criminal Complaint Filed with an
published in the Government Gazette dated August 23, 2019, effective November 21, 2019, stipulated that a debt collector or the person specified by the debtor as a debt collector is restricted to contacting
securities company; or (b) an appointment is made in accordance with Section 145; (c) the securities company is a state enterprise under the law relating to budget procedures. (8) being a manager or a person
Institution Problems” means a person who makes decisions to invest in real estate or leasehold right, select or propose to the unitholders or his designated person who makes decisions on investment in real