activities through such client accounts. Particularly, {A} was found to have made a high volume of trades. {C} had also made such continued misconduct and gained a large amount of profit from commission fees
securities, in fact almost every day, resulting in a high trading volume. {C} admitted that the client permitted him to make trading decision without the client's confirmation or with post-trading confirmation
account where trading had been made in relatively high frequency and volume without any record of client's trade order for three months from the opening of the account to the investigation date. In this
of the reporting person; and (3) Person under Section 258 of the concert party. 2 When reporting the acquisition of convertible securities, please state the number of units for all types and series of
reporting person; and (3) Person under Section 258 of the concert party. 2 When reporting the acquisition of convertible securities, please state the number of units for all types and series of convertible
(2) Person under Section 258 of the reporting person; and (3) Person under Section 258 of the concert party. 2 When reporting the acquisition of convertible securities, please state the number of units
(3) Person under Section 258 of the concert party. 2 When reporting the acquisition of convertible securities, please state the number of units for all types and series of convertible securities (if
; and (3) Person under Section 258 of the concert party. 2 When reporting the acquisition of convertible securities, please state the number of units for all types and series of convertible securities (if