the case and found that Shine and others had continuously sent securities trading orders through trading accounts of several groups of people to buy and sell those securities in concealment in the
compensation payment to its local and international clients is underway. Following this case, the SEC sent a circular to all securities brokerage firms urging them to heighten the systems for internal control
submission of a request to increase credit line only five days after trading of securities. A number of trading orders were sent with high volumes during a certain period of time without sources of the orders
Agreement as at June 30, 2017 227.44 The Company has taken the following legal actions. On October 17, 2016, the Legal Department sent out a letter of payment request to MAT and the representative of MAT
meeting appointment letter to the committee not less than seven (7) days before the meeting except the case of urgent meeting to preserve company’s benefit, then, the meeting appointment will be sent to the
/2017 ast year. Th Jas Urban S cond quarte The gross m ast year. Ho sent gross ative expen rcent highe nistrative ex were due to gment expa ions 30-Jun-17 49. 56. 209. 506. 1,311. 135. 2,429. 70. 110. 95
regulator is located, providing that such information shall be kept at office or on the website of securities company and sent to investor upon request. Clause 8. Prior to selling units of foreign collective
licensed derivatives business operator in the category of derivatives brokerage; “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ business
licensed derivatives business operator in the category of derivatives brokerage; 2 “electronic data” means data that are created, sent, received, stored or processed through electronic procedures; “business
established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data” means statements that are created, sent, received, stored or processed through