failure to maintain net capital (NC) together with the reasons of such incident to the SEC office within the period specified in the notification of the Securities and Exchange Commission. DAB Act S.94
client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
order within the specified period. Moreover, despite being warned by the Competent Officer, they provided only partial, incomplete information and showed a delaying behavior in not providing the requested
, volume, complexity and range of businesses and services as well as associated risks. Zipmex is required to fully comply with the order within three days as from the date on which the SEC notifies the
DSI a favor to inform the SEC of the matter within 30 days in order to allow the SEC to consider the application for establishment of the fund within the specified period.
securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing house under the law on
securities for itself, a securities company shall procure a source for borrowing securities in order to enable delivery of securities in the short sale items within the time period prescribed by the clearing
Company will collect an additional 10% of the fee including a post-dated cheque (based on the credit term) for the remaining fees of 80% within November 2019, in order to prevent the risk of debt repayment
- General to order the appellant to rectify the appeal within specified period. In case where the department in charge of appeal consideration considers that the appeal was not filed within the period