operators to deal with Covid-19 situation. All of them confirm the readiness to provide services related to securities trading continuously and have business continuity plans in case of emergency. In
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s
misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the
proceeds was not in accordance with the objective of the capital increase of the IPO; and the transaction was not in compliance with the liquidity management policy. If the meeting resolves to not confirm
} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was
or right of a person arising from derivatives trading. “close out a derivatives position” means to discharge an obligation or terminate rights under derivatives an equal and opposite trade which
particular, she failed to properly discharge her professional duties with loyalty, to provide services with honesty, and to perform her duties with professional due care. The SEC therefore suspended approval
committed the several distinct and different offences, the Court inflicted the punishment prescribed for each offence as follows: (1) for 18 counts of dishonest and failure to discharge his duty as director
loans provided by clients, as well as, failing to discharge the duty properly as a manager in supervising and examining the staff's conduct to ensure the compliance with laws and regulations, in violation