) surveillance system to prevent conflicts of interest: the system was found to be inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions
keeping of investment advice and trading orders, as the evidence indicated that she had regularly made contact with the client through tape recording system and was able to take client's orders through such
trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding five years prior to the date the branch office
lawsuit by an authority in charge by law, and has no records on offences relating to unfair securities trading, derivatives trading or mismanagement in the manner of deception, frauds or corruption during
of the derivatives broker. (3) not being incriminated or prosecuted under the criminal lawsuit by an authority in charge (by law), and has no records on offences relating to unfair derivatives trading
on offences relating to unfair derivatives trading, securities trading or mismanagement in the manner of deception, frauds or corruption during the period as prescribed by the Office, but not exceeding
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