. They traded RICH shares on a continual basis and matched orders within the group to mislead the general public in RICH share trading values and volumes, causing inconsistency with normal market condition
Company Limited (UKEM) through seven securities trading accounts in concealment, on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and
Company Limited (“BAY”). Being the person responsible for BAY’s operations, she failed to issue orders or omitted to perform her duties as required. This pertains to the case where BAY, acting as the
placing orders for several persons or through series of accounts in an undisclosed manner (omnibus account); (2) derivatives position limit of customer at any time; (3) derivatives position of customer that
Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines in compliance with Notification of the Securities and Exchange Commission Re