misleading information in such a manner that was likely to have an effect on the price of share of GL or the decision making on the investment of share of GL . This case is in the process of inquiry by the
the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association
causing the coin can only trade on Bitkub’s exchange and experiencing a very unusual price adjustment. Since Bitkub’s compliance system failed to supervise the product department to monitor the properties
1.5 Where an Institutional Investor outsources its stewardship duties and responsibilities, the Institutional Investor should monitor the discharge of these duties and responsibilities to ensure that
, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this
regulations on securities and derivatives business licensing SEC files a criminal complaint against Zipmex and its former director and CEO for disseminating or certifying information potentially misleading in
Limited (RPC) that may be materially misleading about JCKH and RPC in such a manner that is likely to affect the price of JCKH and RPC shares or decision making on JCKH and RPC shares investment. 13/12
(RPC) that may be materially misleading about JCKH and RPC in such a manner that is likely to affect the price of JCKH and RPC shares or decision making on JCKH and RPC shares investment. 13/12/2021