renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the
renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the
. Moreover, the existing laws may be impractical for capital market misconduct whereby important evidence is usually in the possession of the offenders contrary to other criminal cases that leave more traces
from the date specified in the SEC letter to be issued to notify their possession of the untrustworthy characteristics. _______________________* PTL financial year 2016 begins on 1 April 2015.** The
Clause 14, the management company shall disclose the information having the content identical to the fund project and the latest draft prospectus to the investors via the Office’s electronic transmission
Clause 14, the management company shall disclose the information having the content identical to the fund project and the latest draft prospectus to the investors via the Office’s electronic transmission
Clause 14, the management company shall disclose the information having the content identical to the fund project and the latest draft prospectus to the investors via the Office’s electronic transmission
documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given to customers and
either in the form of documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given
either in the form of documented or electronic information. Clause 7 A derivatives broker shall keep the evidence relating to derivatives trading under the following criteria: (1) records of advice given