as originally intended by the investor. In so doing, she made and sent false documents to the investor to lure the investor into believing that the subscription transactions had been executed
Earlier, the Civil Sanction Committee decided to impose civil sanctions on Mr. Surin Banyongponglert in the case where he had sent trading orders of PICO shares in the manner of price manipulation
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
allocation prepared prior to investment. 3.2.3 Monitoring and Control of Investment (1) Having an early warning system to ensure that investment has been done in accordance with investment limit of each scheme
advertisements also failed to include required warning statements or provide an audible presentation of such warnings. Furthermore, cryptocurrency advertisements were not restricted to Bitazza's official
warning of possible breach of investment terms in the redemption form.Given that the redemption was ahead of the five-calendar-year holding requirement to be eligible for the LTF tax benefits, {A}'s failure
acquire customers with stronger financial status and sound debt servicing ability. KBank has also emphasized customers’ early warning sign detection and behavior monitoring to ensure efficient monitoring