: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of accounts in undisclosed manner (omnibus
SEC Search Search From : Home > Search > Search Results search: Public Information System Debenture Prospectus ( 1,293 ) Equity Prospectus ( 418 ) List of Approved persons / Licensees ( 188
SEC Search Search คุณอยู่ที่ : หน้าแรก > Search > Search Results search: ข้อมูลระบบงานเผยแพร่ Debenture Prospectus ( 1,293 ) Equity Prospectus ( 418 ) List of Approved persons / Licensees ( 188
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related persons. The offenders (1) to (12) colluded to send trading orders of THE shares continuously in a manner that misled other people, causing the prices or trading volumes to be inconsistent with
investment solicitation and contact the Investment Scam Hotline if they have suspicious cases to report regarding persons, products or companies allegedly operating without license. The SEC will verify and
Investors Association (TIA) said, “To help gather those injured persons from STARK case, the TIA has opened a facility for their registration, strictly taking into consideration the provisions under the
inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions. Even though the relationship between clients and employees was found out, the
) 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