taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the

taking the following actions: (a) collecting and allocating the client’s assets to the client; (b) transferring the client asset account and the client’s assets to another intermediary; (c) closing the

taking the following actions: (a) collecting and allocating the client’s assets to the client; (b) transferring the client asset account and the client’s assets to another intermediary; (c) closing the

submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the

submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the

securities company shall prepare and submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be

purchase a hotel located abroad at a significantly unreasonable price, selling NUSA condominium units at a price lower than the appraised price, and transferring NUSA funds into personal accounts and those

endorsing checks payable to the securities company offering the services or transferring payments directly to the securities company?s banking account or following the instructions specified on the

several clients include the followings: 1. Using a client?s account to trade securities he had obtained wrongfully for his own interest; 2. Deceiving his clients into transferring their money into a

, particularly transaction payment rules that specify direct payments to securities firms only, and in case of check payments, they must be endorsed to the securities companies. Transferring money to personal bank