operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline
a prompt and efficient manner. In the case of Stark, the SEC has continued its law enforcement according to its authority. In addition, the SEC cooperated and followed up with DSI and other relevant
continuously trading PICO’s shares in his four securities trading accounts, that is, he submitted trading orders in a manner to drive up the share price by submitting a large number of trading orders. As a
value of consideration basis. The highest transaction value is derived from this method of calculation, whereby the, calculation is based on the Company’s reviewed consolidated financial statements for
the procedure and method as prescribed in the Licensing Manual for the Public, and notify in writing with regard to skeptical issues resulted from the ascertaining process for the applicant 1 Amended by
implement these measures in a timely and practical manner. A working group was also established to further discuss details of the initial measures.
commercial banks’ regulatory capital requirements (Basel III Instrument) with regard to an offer for sale in the same manner. The insurance capital bond regulations will become effective on 8 January 2021
client and acted irresponsible for the consequence of her action. The SEC probed into the case and found that {A} had made trading decision for such client in a manner that executing orders prior informing
percent of its shares in the manner that taking an advantage over other investors due to the use of negative non-public information material to {X1} share price. The said information was about {X1}'s Q1