assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
Office of the Securities and Exchange Commission. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the
. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the lender or its agent , do so with an understanding
” means the Office of the Securities and Exchange Commission. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its
among MODERN, the major shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers) by through the assignment of the involving in Securities Purchaser transaction
shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers) through the assignment of the Securities Purchaser to be involved in the transaction. Subsequently, on 22 July to 18
, the major shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers) through the assignment of the Securities Purchaser to be involved in the transaction. Subsequently
shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers) through the assignment of the Securities Purchaser to be involved in the transaction. Subsequently, on 25 August to 1
shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers) through the assignment of the Securities Purchaser to be involved in the transaction. Subsequently, on 27 July to 5
appropriate and agreed by the borrower in order to mitigate the Company’s risk in relation to providing loan. Beside of 3 tenants who are connected persons, there are 2 tenants which the Company also provide