financial advisor (IFA) in the event of major changes; 2. Allow the remaining shares from a preferential public offering (PPO)* to be offered for sale through PP (equivalent to right offering (RO)) to give
having medium to high risk level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete
from the one-year prohibition. This is to allow the offeror to make the tender offer within one year and give the securities holders of such business the opportunity to consider the offer. 2
for different risk levels and thus functions as a guideline for the business operators to give investors even more appropriate investment advices. At this juncture, the SEC wishes to invite all business
with the auditors and give the auditors supporting information and documents. Both companies must submit to the SEC and publicly disclose the rectified and audited financial statements by May 27, 2015.
offenders with the ECD Police for further legal proceedings. Anyone who may have been affected by their unlicensed securities business operation can give additional information for the benefit of the ECD
their professional ability to give appropriate information to investors. In making appropriate adjustments and enhancing practicality for the industry, the SEC has taken into consideration comments and
further legal proceedings. Anyone who may have been affected because of his unlicensed securities business operation should give their accounts for the ECD Police?s further investigation and procecution by
audit firms of the SEC-approved auditors to allow OAG officers to observe their overseas branches. This collaboration will give OAG officers an opportunity to exchange knowledge and experiences on audit
suffer loss.Failure to give proper investment advices on generally accepted professional standards, guarantee returns from investment and failure to carry out order of the client were in violation of the