client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent
order within the specified period. Moreover, despite being warned by the Competent Officer, they provided only partial, incomplete information and showed a delaying behavior in not providing the requested
SEC considers revising the regulations on the offering for sale of investment in shares held by listed companies or their subsidiaries in order that the shareholding can be conveniently
SEC plans to review the operation system that the securities business operators and derivative contract business operators have adopted for some time in the operation and provision of services in
Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency
as required by the SEC Office. Clause 4 The particular on the authority, duties and responsibilities of the management company shall contain at least the material information as follows: (1) provision
Court had reversed the decision of the Central Bankruptcy Court by rejecting the rehabilitation plan and canceling business rehabilitation order issued by the Central Bankruptcy Court. JAS later disclosed
rehabilitation order issued by the Central Bankruptcy Court. JAS later disclosed in its Q3/2013 notes to financial statements that due to the Supreme Court decision, claims of the company?s creditors were restored
SEC plans to revise criteria on the delegation of other persons to operate a business on behalf of the operators of securities, investment management, and derivative contract business in order to