shares by using the company?s undisclosed information concerning a deal on large disposal volume of SLC shares by its major shareholders and executives to a new investor and subsequent changes in the
permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on
strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume
Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume. He
Facebook "LTC Trading TH" : Unlicensed securities and derivatives business (Disclosure Date : 10/03/2022)
Ascot Global Trading Website: www.ascotfx.com : Unlicensed securities and derivatives business (Disclosure Date : 14/11/2012)
Facebook page SGK Trading : Unlicensed securities and derivatives business (Disclosure Date : 15/03/2022)