inappropriate and deemed as interfering with client's assets.As both investor contacts' actions are in violation of Clause 14(2) of the Notification of the Office of the Securities and Exchange Commission No
will be imposed if inappropriate behaviors of issuing companies such as concealment of information or cooking the books have been found. The issuers covered under the proposed revision are non-listed
example, the issuer have never been rejected any PO submissions due to suspicion in severe inappropriate behavior in the past five years.The revised rules aim to prevent non-listed companies with severe
standard qualifications of salespersons. On the sales process side, the aim will be to prevent mis-selling or inappropriate selling of financial products to investors at the pre-sales, point of sales, as
that could encourage or imply guaranteed returns from investments in digital assets, based on inappropriate assumptions or supporting information. In addition, Bitazza did not provide any channels for
misconduct, an inspection report from the bank and the SEC's further investigation have revealed that she solicited an elderly customer to invest in a mutual fund unsuitable for the customer's profile
addition, B/E characteristics are unsuitable for issuance in the form of structured product. It thus should be under strict regulation to protect investors while offering other alternatives for fund
buyers. In addition, B/E characteristics are unsuitable for issuance in the form of structured product. It thus should be under strict regulation to protect investors while offering other alternatives for
No. 2/2021 Dated 21/12/2021 Bitkub Online Company Limited Between January 2-21, 2021, Bitkub Online Company Limited ("Bitkub"), a digital asset exchange, provided inappropriate and insufficient systems