guidelines for controlling and examining client?s information and transactions. In 2007-2011, the SEC conducted inspection on operational procedures of securities company, asset management company, and
Limited (“TIGER”) by placing trading orders or trading TIGER’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading
way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to cause
the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a
) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading
10.01.59 a.m. (as the case may be) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the
such a way that deceive investors by controlling or artificially affecting the price or volume of the securities; and placing trading orders or trading securities on a continued basis with an intent to