prevent mutual funds from being exploited for any other benefit than those which ought to be obtained from the investment. At present, the number of investment units held by any person or any associated
License. In any case, business operators who have already obtained PF License may request Derivatives Fund Manager License, free of charge. _____________________
information in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that
securities business operators, derivatives business operators or digital asset business operators who have not obtained a respective license, as well as foreign digital asset business operators. This is
information he had obtained by virtue of his positions to sell SLC shares and for imparting a false statement with the intention to mislead any person concerning facts sensitive to the SLC share price
: elements of crime will be revised to be more concise and comprehensible as well as extended to cover non-insider who traded securities by using inside information obtained from others;2) Dissemination of
manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
shares through such provided account, and obtained profit sharing according to the proportion invested among three of them.Choavalit?s action was in violation of Section 241 of the Securities and Exchange
indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries. The acts of {A} and {B