knowledge and skills to exploit technological loopholes and commit more crimes. Therefore, as a regulatory agency, both the AMLO and the SEC must keep abreast of the latest information and technological

.___________________________Remark:Regulatory Guillotine is the regulatory review of the existing laws and regulations. The reviewed laws and regulations that are not necessary or do not keep pace with situations or remain obstacles to

statements or nature of business opreation woud be subject to cash balance trading, symbolized by te ?C? sign.Investors are advised not only to keep abreast of the important information disclosed by listed

disclose information equally in addition to the management of new generations. It is therefore the challenge of the business sector on how to adapt itself to keep businesses growing and to survive

supervised in response to the changing scenarios to enhance investors’ trust and confidence. In this connection, the SEC sets priorities for policy measures, developmental and supervisory, that can keep pace

received and keep the general public from realizing of such obligation. The above offences were in violation of Section 307, 311, 312(1)(2)(3) and 313 of the Securities and Exchange Act of 1992 in several

three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives

keep their B3,013 million of benefits in the system accounted for a 11.3% and 20.9% surge of members and benefits, respectively, over year-end 2010. This is a good sign showing that members give priority

unavailability of anti-corruption policy or having an unclear policy against corruption. In any case, the SEC will continue to keep a close watch on listed companies? anti-corruption development.  ?The Anti

market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders.  He