investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives

the conversion price falls within the meaning of an offer for sale of newly issued shares at discount. Clause 3 A company eligible to obtain an approval of an offer for sale of newly issued warrants and

. Since the transaction size is less than 15%, therefore, the Company has no obligation to report and disclose the transaction, and not oblige to obtain the resolution from shareholders. However, the

Company. The Company shall sign the share purchase agreement and/or other relevant agreements and will complete the transfer of WPS shares within December 21, 2018. However, the transaction is the

; (3) make a clarification in order that investors will receive information that is complete, accurate and true, or not misleading; (4) act or not to act in a certain way within a specified period for

securities company to obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an

estimated return; (2) advertisement related to auto-redemption rate; (3) advertisement for which the Office directs the securities company to obtain prior approval in accordance with Clause 19. In cases where

obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an objection within five

The auditor expressed a qualified opinion on NRF’s interim financial statements for the third quarter of 2024 because the auditor was unable to obtain sufficient, appropriate audit evidence

which the SEC Office receives the application and supplementary documents in full according to the Licensing Manual for the Public. The Securities and Exchange Commission shall complete its consideration