no permission from the SEC. There were lots of victim falling into such pitfalls these days. The SEC has issued investor alerts in this matter and further placed emphasis the need for the public to
}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
include, the following matters: (1) Determination of types and characteristics of investible assets based on principles instead of specific details; (2) Permission for mutual funds to invest in more
instructions from the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining
such permission.In performing their duty, an investment consultant can send trading orders only when obtaining orders from the clients. Even with the client?s permission; they cannot make decisions on
trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client. In this regard, {A} and {B}'s actions were in violation of
remuneration of service fee paid by the company for provider related to securities business, namely the securities exchange business fee, amortised permission fee, sale agent of unit trust fee and foreign broker
Service Expenses means remuneration of service fee paid by the company for provider related to securities business, namely the securities exchange business fee, amortised permission fee, sale agent of unit
securities exchange business fee, amortised permission fee, sale agent of unit trust fee and foreign broker fee, etc.. 2.3 Bad debt and doubtful account means securities business account receivable and accrued
and all other services) and warehouse rental conform to fair market rate evaluated on 17 May 2019 - according to The Valuation & Consultants Company Limited. - 2 - 4. The total value of the