evidenced by large amount of related transactions. She then admitted that she took the client's trading orders via mobile phone.The aforesaid actions are in violation of Clause 20(3) of the Notification of
draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients
SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with
to evaluate their portfolio investments and transactions. The proposed revision will also result in consistency between the rules governing registered and licensed derivatives business operators.The
market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. This case is
conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to participate in the trading. This case is in the
was inconsistent with the normal market conditions. Furthermore, these transactions misled other persons to into thinking that these securities were traded in significant volume and lured others to