brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom

the applicant to attend the first training course after having been granted an approval. The required course shall be a refresher course relating to law on securities and exchange, applicable rules and

), which is punishable under Section 274. In addition, the responsible management may be liable to punishment as prescribed by law. The SEC shall consider further legal action in due course

course of business. As a matter of fact such revenues were classified as other incomes from acting as agent for selling of goods and rendering services. The revenues were not generated from the actual

principles for supervising additional digital asset businesses before proposing the Ministry of Finance to issue ministerial regulations in due course. ______________________________

required to examine the issue raised by the auditor whether the questionable transactions of land sales and purchases were in line with the normal course of business operation.Concurrently, the SEC

, please call SEC Help Center at 1207 for further investigation in due course.  

} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading

and purchases were in line with the normal course of business operation. Concurrently, the SEC instructed the company to amend the annual financial statements for the year 2015 and the interim financial

in the register of person qualified to be fund manager. In granting an approval according to the first paragraph, the Office may specify a period for the applicant to attend the first training course