, giving of opinions and preparation of various documents relating to the issuance and offering for sale of securities and relating to the acquisition of securities for business takeovers shall be jointly
transactions; (b) presenting capital market products or services suitable for clients based on the results of the clients’ suitability test and recommended asset allocation; (c) distributing documents for
management and storage of data, documents or relevant evidence, for example, efficient records of conversations while providing advice and accepting trading orders which prevents eliminating, adding, editing
information or documents already disclosed on the Company's website and the progress report of similar work submitted to any other anti-corruption project such as CAC wherein the Company participates. 11
, effective from 17 March 2020. Investors are strongly advised to thoroughly check and make sure that the evidence of all transaction records, both buy and sell sides, is genuinely issued by the banks or the
case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents
audit on the internal control system concerning the B/E issuance, related receipt and payment transactions, and the company's accounting records practice. In addition, KC must examine the issue raised by
) to (4) had purchased MAKRO shares based on non-public information material to the price of MAKRO shares. The findings revealed records of purchase transactions in the trading accounts of the four
his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with