into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close
investor”, “ultra-high net worth investor” and “high net worth investor” shall have the same definitions as specified in the Notification of the Securities and Exchange Commission concerning Determination of
and found that {A} had been authorized by his clients to make securities trading decisions on the client's behalf. He submitted trading orders with high trading volume for a certain period of time. {A
auditors with high quality and expertise is key to the support for duty performance of the audit committee. Apart from knowledge, capability, and sufficient time and resources for engagement performance, the
a filing and a prospectus and lessen a duty for digital token portals.Given high risks and uncertainties of a project during pre-ICO and private sale, and limited information disclosure to
assets. Under the royal decree, they must obtain licenses to operate digital asset businesses from Ministry of Finance. SEC has a duty to standardize business practices to ensure that operators are well
having medium to high risk level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of complete
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
without his client's orders. Such trading was made in high volumes for several consecutive days, decreasing the number of shares in the said account. {A} then used the client's money to gradually purchase
Redeeming Units of Foreign Collective Investment Scheme in case of Institutional or High Net Worth Investor dated 12 August 2012 shall be repealed. Clause 2 In this Notification: The terms “institutional