client of such act. When the client asked for dividends from such shares, {A} transferred her own money to the client’s account instead to conceal the fact that she had not bought the shares as ordered

consequently ordered by the Revenue Department to return the received tax benefits and pay a fine. In this regard, TMB paid a compensation to the client for the money paid to the RD;   (2)  In the case of {B

information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions

trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."  

SEC therefore ordered the company to review and reinforce its relevant systems. Meanwhile, the SEC will consider further appropriate measures in due course.    In this regard, the institutional clients

sandbox and is allowed to provide services as a securities trading center in accordance with the license for establishing a securities trading center in such other manner on a continuous basis immediately

manner on a continuous basis immediately after expiration of the aforesaid periods; (b) discontinuation of services of the securities trading center before expiration of the period of participating in the

system immediately, the custodian may notify to the Office and request for the outcome of the consideration before the period of fifteen days. Clause 9. In case where the custodian can not maintain its

case where it is necessary to change the operation system immediately, the custodian may notify to the Office and request for the outcome of the consideration before the period of fifteen days

Company in the consolidated financial statement ended June 30, 2019. The company has to ask for the approval from the Board of Directors and disclose the transaction to SET immediately. Details of the