specifying securities, amount and price. The clients accepted his trading decision without asking for any information on market condition or relevant securities. In Kacha case, the SEC found that he did not
assessment, suitability test and checklists for explanation of the structured notes features and information. {A} admitted that he did not contact the client and not give any investment advice.Signing the
instruments of which the credit was not rated and found defects in consideration of important information or factors with respect to the issuer, and this affected its capability to repay the principal and
investment. For more information on the Initiative and participation, please visit www.capthai4good.com
investment. For more information on the Initiative and participation, please visit www.capthai4good.com
business operation and responsible investment. For more information on the Initiative and participation, please visit www.capthai4good.com
investment. For more information on the Initiative and participation, please visit www.capthai4good.com. ___________________________
2014, was collectively the third largest economy in Asia and the seventh largest in the world. - More information on the ACMF and its initiatives can be found at the ACMF website www.theacmf.org.
largest economy in Asia and the seventh largest in the world. More information on the ACMF and its initiatives can be found at the ACMF website www.theacmf.org.
, the SEC shall file a criminal complaint against him or her with the DSI in due course. ------------------------------- For more information on the other four offenders in the UMI case, please read