his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with
records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send
}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written authorization letter. From the recorded conversation
person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of the Act. The SEC
fees and expenses; (14) dissolution of mutual fund. Clause 4 The particular on the specific characteristics of mutual fund shall contain summarized details of mutual fund as follows: (1) name of the
The Secretary of the Securities and Exchange Commission The company clarifies cause and reason if relative performance of a particular company varies more than 20% compared to previous year; we hereby
. (2) Any securities company, which ceases to undertake any particular category of its business or ceases any particular transaction which requires reporting, and when the Office has received notice in
when such securities company has resumed its business operation with the approval from the SEC or the Office. (2) Any securities company, which ceases to undertake any particular category of its business
such securities company has resumed its business operation with the approval from the SEC or the Office. (2) Any securities company, which ceases to undertake any particular category of its business or