account of the referred client; 3. Accepting her clients? assignments to make trading orders on their behalf. Sugunya?s aforesaid misconducts were dishonest and unprofessional in violation of Clause

companies transparently or check thoroughly the fund?s assets before accepting them from the leaser. They also failed to provide evidence or contracts that would have proved the appropriateness of the

confirmed the clients' trading orders via telephone, as she understood that these could have been evidence of the clients' trading orders. However, {A} failed to record her accepting of security trading

Facebook account was a BX channel for accepting fund or digital asset transfers. SEC is therefore urging BX clients to exercise utmost discretion if approached by such deceitful websites or Facebook

trade of natural gas. In accepting the said right, the Company or its subsidiary shall purchase the entire shares of Hemaraj in Gulf WHA MT Natural Gas Distribution Co., Ltd. (“Gulf WHA MT”), a joint

conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows:  (1) Prohibiting local securities companies from accepting orders of purchase

conducting this public hearing on the proposed amendments to the relevant regulations, with the essences summarized as follows:       (1) Prohibiting local securities companies from accepting orders of

, including accepting an authorization from investors to trade or make investment decisions on their behalf are deemed to be misfeasance against the SEC?s Rules of Conduct. The SEC has repeatedly emphasized

On 8 November 2023, JKN filed a petition for business rehabilitation with the Central Bankruptcy Court. The Court issued an order accepting the rehabilitation petition on the following day, resulting

transactions must be transferred into the securities account of the responsible securites company only, and that accepting a deposit of shares from any investment consultant into investors? own trading accounts