trading transactions of a client making orders in the trading room.Investment consultants must keep a full and complete record of all investment advice as well as clients? securities and/or derivatives

collateral placement for a client's KTB securities trading account. Panadda was responsible for the said trading account and she also had a personal relationship with the client who was the account owner. She

. Details are as follow: Buyer (Remained No Change) Cal-Comp Electronics (Philippines) Inc. (“CCPH”), a wholly-owned subsidiary of the Company Seller (Remained No Change) Kinpo Electronics, Inc. and/or its

clearing house receives from a member, whether it is owned by the member or its client, for use as collateral for securities clearing and settlement that the member is responsible to the securities clearing

take the following action: (a) In the case of sale of investment units: 1. The mutual fund management company shall reduce the number of investment units of each relevant investment unit buyer in a

undertake any action to cause the minority shareholders to sell their shares in RPV, totaling in the amount of 100 percent of the shares to BCPG Public Company Limited (“BCPG” or “Buyer”). The Company is the

the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF . In

selling under sub clause (2) or (3) of the first paragraph, shall be engaged in only if the securities company or its client, as the case may be, is a market maker or a major participating investor under

company or its client, as the case may be, is a market maker or a major participating investor under the requirements of such ETF. In this regard, the securities company shall comply with the rules as

note etc. including negotiable instrument selling or discount negotiable instrument selling whose the buyer has a right of recourse. 13. Securities sold under repurchase agreement means the lending of