phone and Line Application. However, the recorded conversation showed that she accepted to trade securities on behalf of clients.Failure to disclose specific risk  of securities and trading securities on

: “securities holder” means any securities holder accepted by the securities registrar. “client” means any securities issuer accepted by the securities registrar. Clause 2. In providing services as securities

complex 2**) and specified a period during which his resubmission for an application for an approval as a capital market business personnel would not be accepted for a period of 10 years, effective from 4

made securities trading decisions on the clients? behalf. The recorded conversation indicated that Ashiya and Onjira specified securities, amount and price for their clients and the clients accepted

conversation indicated that {A} and {B} specified securities, amount and price for their clients and the clients accepted their trading decisions without objection or asking for any information of those

on August 17, 2017, approving for submission of the final offer to make a bid for 30 MW solar farms. In the event of the final offer is accepted by the Seller, the Board also approved for negotiation

/2024: Request for the court to indicate provisional measures. Both cases were accepted by the Court and a hearing for petition on temporary protection was scheduled on May 27, 2024. Furthermore, on

prosecutor’s prosecution, and the court’s adjudication, respectively.  “The DSI has accepted this matter as a special case, and the ECD, which has been working with the SEC since the beginning, has been

Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders

the six short-to-medium term focus areas identified in the Roadmap for ASEAN Sustainable Capital Markets (“Roadmap”). The meeting also accepted the provision of technical assistance from the Asian