market product s including [existing] clients of an intermediary . “ institutional investor ” means an institutional investor as specified in the Notification of the Securities and Exchange Commission
the deficiencies of its work systems within deadline, and ordering Huobi to return assets to clients as per their request. Huobi requested extensions of deadline many times and the SEC Board granted
personal benefits from the margins of the offer prices. According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to
capital market products, investment management, management of the intermediary ’s branch office, supervising account of clients and making investment decisions for clients , operational function, compliance
capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
[existing] clients of an intermediary; “institutional investor”5 means an institutional investor as specified in the Notification of the Securities and Exchange Commission concerning the Determination
concern to and to protect the best interests of clients should be encouraged, taking into account the following principles: (1) Duty of Loyalty (1) The management company should manage the investment in the
Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip