}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving

shareholders to study the information thoroughly and exercise their rights to protect their own benefits. In addition, they should seek further clarifications from the company?s executives for insightful

(AMR). These actions included placing buy or sell orders designed to artificially inflate prices, submitting bids that hindered others from making their own buy orders, placing small-volume buy orders to

material to the change of price or the value of the share. Subsequently, Mrs. Malatee purchased LPN’s shares through her own securities trading account between 13 - 18 May 2020 in a manner inconsistent with

deposits of digital assets from the customers and paying them regular interests or other types of benefits from their own source of fund unless those activities are in accordance with the sale promotion

custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner

. In taking custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in

assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner that is

the IP address of KTB Securities for a certain period of time. She used her own money to trade securities since the account was opened.(1) Using client's account to trade securities for one's own

adverse impacts on environment and society.   Business units are responsible for continuous and active management of all relevant risk exposure to be in line with its returns and risk appetite.  Risk