consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients
the deficiencies of its work systems within deadline, and ordering Huobi to return assets to clients as per their request. Huobi requested extensions of deadline many times and the SEC Board granted
: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their financial position and investment knowledge. In addition, the company failed to take sufficient measures
inspection also indicated deficiencies of AEC?s core work systems in three areas as summarized below: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their
advice on derivatives investment without approval through many channels such as website, YouTube, email, phone, SMS and Line application. {A} and {B}, then investment consultants at KGI, cooperated with
-2741-5700-5/Fax 0-2741-6878 / Company Tax ID : 0107545000021 No. 7UP 015/62 April 9, 2019 Subject : Notification for Resolution of Board of Director's Meeting No. 3/2019 regarding the Acquisition and
delivered the same to clients as evidence. In addition, it was found that she deceitfully sold investment units of clients and revolved funds from other clients to return to clients in many other accounts
SEC Public Service Center has been receiving many inquiries and information about public solicitation for investment in shares of PB. Smart Farmer Plc. Such solicitation contains information
SEC Public Service Center has been receiving many inquiries and information about public solicitation for investment in shares of PB. Smart Farmer Plc. Such solicitation contains information leading
circumstance, many audit firms in the capital market tend to postpone nomination of persons to apply for approval as auditor in the capital market, which may cause the number of auditors in the capital market