continuous trading activities. Examples include sending trading orders in a manner that pushed prices upward, placing bid offers at multiple price levels in a way that obstructed and pressured other investors
a single offense that violates multiple legal provisions. Pursuant to Section 90 of the Criminal Code, the penalty shall be imposed under the provision prescribing the heaviest punishment, namely, the
The SEC monitors and observes events and exhibitions featuring booth setups related to investment advice and service solicitation. Recently, the SEC has been alerted by the public and relevant