SEC investigated further and found that Mr. Konoshita ordered Group Lease Holding Co., Ltd. (GLH), a subsidiary of GL based in Singapore, to issue loans to several foreign companies.Evidence showed that
complaint from an investor and further investigated the case. It was revealed that she failed to make a risk tolerance assessment before soliciting the investor to buy units of mutual funds.In addition, {B
: Evolution or Revolution. Sir Davies has extensive experience in economics and finance and served public and private sectors in a number of prominent positions, for instance, a former Deputy Governor of
services and they will proactively contribute to the campaign by, for example, screening and selecting prominent mutual funds suitable for long-term saving and investing, providing consultation and advice on
appeared, we did not stay indifferent. We have confidence in the evidentiary documents that we have investigated to hold the wrongdoers accountable. Also, the SEC has collaborated further with the DSI and
brokerage firm stating that {C} sent trading orders through client's account without evidence of trading orders from client. The SEC investigated on the case and found that there were trading orders in
; (b) a specified property fund; (2) the advertisement must be made in print or electronic media; (3) presentation of the estimated return or the auto-redemption rate shall not be more prominent than
electronic media; (3) presentation of the estimated return or the auto-redemption rate shall not be more prominent than other information contained in such advertisement. In case of specified property fund
electronic media. The presentation of such information shall not be more prominent than other information in the advertisement, and shall have the following statements: (a) a warning stating that “the past
following rules: (1) The advertisement which presents return or past performance of the fund shall be made in print or electronic media. The presentation of such information shall not be more prominent than