Office grants permission to such securities company to use back office service as its request. Clause 5. It shall be deemed that the securities company have the permission in using back office service from
SEC Search Search From : Home > Search > Search Results search: Public Information System SEC_News ( 69 ) Tender Offer Documents ( 17 ) Enforcement ( 4 ) Sitemap Act and Royal Enactment ( 27 ) Law
reporting period in case of changes to the securities or derivatives holding by extending reporting periods for small-scale transactions with permission to incorporate small-scale transactions into one report
yet issued any permission for sale of digital tokens or initial coin offerings (ICOs). Those who have been persuaded for such investment, please inform the clues to SEC Help Center at 1207
capital market investment consultant for 3 months, effective from June 16, 2015.The investment consultant is unable to make any trading decisions on behalf of the client even with the client's permission
no permission from the SEC. There were lots of victim falling into such pitfalls these days. The SEC has issued investor alerts in this matter and further placed emphasis the need for the public to
}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
instructions from the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining
such permission.In performing their duty, an investment consultant can send trading orders only when obtaining orders from the clients. Even with the client?s permission; they cannot make decisions on
trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client. In this regard, {A} and {B}'s actions were in violation of