former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
, objectives and operational procedure clearly, thoroughly and obviously; (2) determining [i] organizational structure and [ii] roles, powers, duties and responsibilities of directors, executives and other
cover at least the following managements and systems: (1) determining strategies, policies, objectives and operational procedure clearly, thoroughly and obviously; (2)3 determining organization structure
clearly, thoroughly and obviously; (2)3 determining organization structure, roles, authority and responsibility of directors, executives and other personnel of the intermediary clearly. (3) having
capital utilization from previous PP capital increases. The SEC therefore ordered POLAR to submit documents and clarify the information thoroughly within seven days and publicly disclose such information
had already complied with the mandatory[M] completely, it shall be deem that the company had complied with this Notification. Providing that if the company had already complied with the accredit [A], it
the mandatory[M] completely, it shall be deem that the company had complied with this Notification. Providing that if the company had already complied with the accredit [A], it shall render the company
Center to enhance its role as an information consultant to prevent potential scam damage, urging the public to thoroughly check in case of uncertainty to make well-informed investment decisions. Mr
} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation