}, it was found that she had signed on unit purchase orders without communicating or giving advice to the client for whom {B} had given information and advice. {C} was working at the branch where {B} was
(3) Receipt of application submitted via post after business hour or on holidays, such submission should be deemed received in the next working day, provided that date and time of receiving shall be
nature of the mutual fund’s utilization of its assets may cause uncertainty to the amount of its earnings, a warning that unitholders’ benefits or returns may be significantly affected, etc.; (3) a warning
borrowers with good track records, as well as existing low-risk customers. Early warning signs were also developed with the use of transactional data for enhanced efficiency in risk monitoring and portfolio
within the same working day the cause of amendment found and must record the reason for each amendment. Clause 14. A securities company shall provide an inspection of the client’s assets under its custody
securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment within the same working day
Management Discussion and Analysis Analysis of Overall Performance The distribution business of the plastic resins, plastic, and petrochemical related products needs relatively high working capital. The key
0.20 Interim Management Discussion and Analysis Analysis of Overall Performance The distribution business of the plastic resins, plastic, and petrochemical related products needs relatively high working
details below: In order to assist GSTEL on their operation business and temporary working capital since GSTEL is currently in the process of debt restructuring and seeking funds from external source with