{G}, they failed to record some of client trading orders correctly and completely. In this regard, the SEC revealed their inappropriate actions and recorded such demerits for future reference if
illustrating making trading decision before client acknowledgement. The client then acknowledged the transactions without any objection and made payment completely. {A}'s actions were deemed using client
the first available opportunity; (4) in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary, such information shall be revised and updated completely
more than ten (10) percent of its paid-up capital, which shall be within the scope of power of the Board of Directors to approve such buyback of shares. Such shares held by the Company will neither be
, except for any buyback of shares representing no more than ten (10) percent of its paid-up capital, which shall be within the scope of power of the Board of Directors to approve such buyback of shares
from derivatives for clients; “member of fund investment committee” means a member of a committee which is appointed or assigned by a fund management company to consider and determine the scope of
of Director: The Board of Directors has considered the agreement and has opinion that the transaction is necessary and reasonable. F 24-1 Form to Report on Names of Members and Scope of Work of the
of mutual fund rating without causing misunderstanding to the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope
under the scope of this Notification in order that any intermediary would comply with this Notification under the same standard. In this regard, the SEC Office may impose the detail for consistence with