information set to the new service provider through an interconnected system on the condition that investors personally check whether or not the received information is accurate and up-to-date. In such case

result, the price and trading volume of PICO’s shares were not in a normal market condition, and investors in general were misled to understand that a large number of investors were interested in buying

in big volumes. Such trading manipulation took place during 10-27 September 2013, causing YCI price and trading volume to be inconsistent with the normal market condition. The wrongdoing was assisted

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. In the

information for investment decision making such as condition of non- guaranteed by the Ministry of Finance, source of fund for debt repayment and business nature for risk assessment. Like private issuers

value to deceive any persons about financial condition and performance of the companies.  The said persons were (1) {A}, GSTEL director and executive & GJS director, (2) {B}, GSTEL executive, (3) {C

the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know

Provincial Electricity Authority; and (2) The payment condition is inappropriate because SUPER has paid a lump sum advanced payment for the share purchase even before the shareholders pass a resolution either

statements for the year 2002 and for the 1st and 2nd quarters of 2003 and thus misled shareholders and investors about DAIDO?s true financial condition. The said actions were in contravention of Section 312 of

with U Best and Media Agency on the condition that the collateral will be returned to AJP if shareholders rejected the proposed transactions. The SEC thus advised AJP shareholders to study the