employee of other securities companies, the securities company shall act as follows: (1) notifying the other securities companies in writing prior to rendering securities trading service for such account
trading of the client’s account is an employee of other securities companies, the securities company shall act as follows: (1) notifying the other securities companies in writing prior to rendering
) notifying the other securities companies in writing prior to rendering securities trading service for such account that the client or a person who applied for operating a securities trading account or the
and common guidelines for notifying facts related to acceptance of assets which are rights of claim and the change of agent to collect and receive payments of debt. For further details of this
investors correctly and completely and without sufficiently notifying or giving information that was important and relevant to investors’ decision making, in contravention of the Notification concerning
rules, which contains key points as follows: (1) Revoking the requirement for notifying details of each advertisement and the associated expenses to the SEC; (2) Advertisements need to be considered
}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
her client to buy derivative warrant without informing the client of specific risk of securities, the securities? last trading date and maturity date. {A} admitted that she advised the client to buy
Securities Company Limited, had made trading orders before informing the client who did not make any objection and made payments for the trading transactions. The trading activities involved shares and