orders. Following a report on client's complaint filed by Country Group Securities PLC., the SEC probed into the case and found that {A} sent trading orders from the client's securities trading account
on the client's behalf. The communication record showed that {B} sent trading orders and afterwards informed the client who did not reject the transactions. The record also proved that he did not
specified by the tender offer rules, Bee on January 27, 2014 sent the SEC a letter explaining his purchase of EIC shares to the Sub-Committee on Business Takeovers .The fact that Bee sold all 1,017,500 EIC
sent a letter to the bond issuer to demand immediate repayment of the bond reaching maturity. The SEC requires that the bondholder representative analyze the benefits and shortcomings as well as the
Directors approves. 3. Allow the buyer to make an acceptance letter in accordance with no.1 and no.2 (above) as a response letter sent to the company within 7 days from the receiving date. If the buyer does
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading
sent representatives to observe are Singapore, Malaysia, Taiwan, Hong Kong and the Philippines.However, after the ARFP project was officially launched on 1 February 2019, the first cross-border IPO
, regular review of documents and evidence on one?s own investment portfolios sent from the responsible intermediaries is another way to protect one?s own assets.? ______________________ *Clause 20(1) of
. Investors should object to any trading activities that do not comply with their investment objectives and monitor regularly the ongoing record of their trading transactions sent to them by the responsible