} had submitted some trading orders and later asked the client to re-submit those orders via the phone recorder. Moreover, several transactions showed that the securities were traded intra-day at the
contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client
TFEX?s officers and executives at all levels to seek an immediate clarification. The SEC received a preliminary explanation on the cause and later detail explanation and improvement measures. The SEC met
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk
business is under direct supervision of another regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices
paid upon later agreed contract. 5.2 Machine and equipment value approximately 35-50 million, payment term will be later determined with each supplier. 6. Value of acquires asset (approximately) Value of
common control, whichever date is the later. For the purpose of this item, “common control combination” means a business combination in which all the combining entities or businesses are under common
, operating the business of container rental. Later in July 2018, NCL disposed total capital in Legacy Asia Capital Pte. Ltd., due to the bankruptcy of Buss Capital Fund Singapore, to a shareholder of Legacy