of Section 246 resulted from failure to file the reports for nine transactions. Accordingly, a four-month imprisonment was imposed on each offence totaling 36-month imprisonment which was then reduced
futures trading agents. They advertised and solicited investing public to open gold futures trading account and make the trading transactions through website www.fortunebullion.com without obtaining license
Bee filed a cancellation notice to his broker, Globlex Securities Co., Ltd., in order to void the purchase transactions has no effect on the Sub-Committee?s opinion as well because the purchases of EIC
entering into complex financial products or transactions whereby associated risks and return must also be studied. Moreover, assessment in the aspect of appropriateness to investment policy and investment
the transactions and permitted {A} to continue trading in attempt to recover loss incurred in the trading account.In performing their duties, investment consultants can send trading orders only when
thus unable to gather sufficient evidence for such transactions. In this regard, the SEC required AIE clarify the issues to the SEC and publicly disclose the information by May 12, 2015.In addition, AIE
an account with, they should seek verification from the firm before making any transactions.? Before making decision to use any wealth management services, investors can check the list of licensees and
to related financial transactions such as opening securities trading accounts, making deposits, and withdrawing money to pay for the trading orders in the aforesaid securities trading accounts. Such
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