{G}, they failed to record some of client trading orders correctly and completely.  In this regard, the SEC revealed their inappropriate actions and recorded such demerits for future reference if

banks, life insurance companies, if complied with the requirement on independent directors as prescribed by such other lead regulators, they will be deemed to have been appointed independent directors

futures trading agents. They advertised and solicited investing public to open gold futures trading account and make the trading transactions through website www.fortunebullion.com without obtaining license

of {B} {C} and {D} were in violation of Sections 243(1) in conjunction with 244 and 243(2) of the SEA in conjunction with Section 86 of the Penal Code.As they all agreed to enter the settlement

explanation to the SEC accordingly.       In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities

capital market personnel's malpractice / breach of professional conducts. They shall subsequently be revoked their approved status and the SEC will not consider their re-entering applications for a

, however, incorrect and caused damage to the Fund. The evidence, furthermore, indicated that they, with support of Bania and Suthapa, had falsified documents and evidence concerning money withdrawal to

obtaining the clients? instructions.  They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission.  In this regard, the aforesaid {A}'s actions

complaints lodged by a certain number of EPCO shareholders informing that they had not made the letters of intent to decline the tender offer which were attached to Form 247-4. After the SEC?s review of the

information on related party transaction in the registration statement and thus mislead investors. Besides, they did not advise the applicant in order to comply with relevant rules and regulations, particularly