the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: 2 (1) proceed to solve the problem described in the complaint rapidly. In case
misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed
}'s account. Therefore, it was deemed that {B} had used the trading account of the client to trade securities for himself.The misconduct of {A} and {B} was an exploitation of investors' trading accounts
. She deceived the client to transfer cash into his account and used the cash for her own securities trading. {A}'s actions were deemed dishonest, fraud, wrongful use of the clients? assets and
payment as ordered by the Settlement Committee. {A}'s acts were deemed as using client trading accounts to trade securities for herself and being the accomplice in share price manipulation scheme, in
, the aforementioned services constituted transactions conducted outside the digital asset exchange.Such services shall be deemed to be the operation of a digital asset dealer business under Section 3
Previously, the SEC revised the criteria for determining persons deemed to be major shareholders of securities and digital asset business operators (“business operators”) requiring approval, with
undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an