amendment to regulations on capital adequacy of securities business operators to be more adequate and efficient, (4) the development of personnel in capital market businesses through competency training
' securities trading accounts. They traded UKEM shares in concealment on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and volumes, causing
SEC?s subsequent investigation revealed that during the aforesaid period FOCUS shares were traded in great volume and the share price changed inconsistently with normal market conditions because the
make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading
advised by SEC to accelerate the following, four main issues.(1) Considering appropriate legal basis that will be used to process personal data in the organization and producing a corporate’s private
other persons? accounts to purchase and sell AMC shares in concealment and on a continual basis during 13 September ? 16 November 2006 to mislead the general public to believe that the AMC shares were
high trading volume. They also traded RS shares on a continual basis, causing the share price to be inconsistent with the normal market condition to induce the public to trade RS shares. The acts of
persons’ securities trading accounts. They traded RICH shares on a continual basis and matched orders within the group to mislead the general public in RICH share trading values and volumes, causing
’ securities trading accounts. They traded RICH shares on a continual basis and matched orders within the group to mislead the general public in RICH share trading values and volumes, causing inconsistency with