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? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
orders sent through him for several days. {A} admitted that the securities trading orders were taken via mobile phone; the misconduct of which he had previously committed. In case of {B}, the SEC found
, administrative orders, and administrative sanctions; 3. Information Technology Audit and Cyber Risk Supervision and inspection of information technology risk of business operators ✓ ✓ ✓ ✓ ✓ ✓ 1. Disclosure of
honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company
trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities
processing and confirming the redemption orders in violation of the tax terms; (2) In the case of {B}, she was found to sign the redemption orders without double-checking the correctness of
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
: (1) throughout the period when the mutual fund management company does not sell or repurchase investment units, or ceases accepting purchase or redemption orders for investment units; (2) from the day
to the timeframe when the SEC considers the inquired matters. Therefore, the SEC requests that the general public acknowledge this matter and beware of the limitations of such response letters. For