operators to deal with Covid-19 situation. All of them confirm the readiness to provide services related to securities trading continuously and have business continuity plans in case of emergency.  In

transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s

misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the

shareholders should be set out succinctly in the annual report, or equivalent disclosures, and approved by the board itself. 7.3 Affirmation The board should affirm that the company’s annual report and accounts

Hong Kong. Yes No If “No”, please specify __________________________________________________ _____________________________________________________________________ 4. I/We affirm that the offering

_____________________________________________________________________ 4. I/We affirm that the offering documents/prospectus and the information of the Hong Kong Covered Fund will be disclosed and distributed to the investors of the Hong Kong Covered Fund in Hong Kong

} did not inform nor have the customer sign to confirm unit purchase orders inconsistent with the customer's risk profile. Moreover, she misled the customer into believing that an estimate return rate was

proceeds was not in accordance with the objective of the capital increase of the IPO; and the transaction was not in compliance with the liquidity management policy. If the meeting resolves to not confirm

to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be

office to confirm the share transfer with a person who was believed not to be the true owner of the trading account, and adding a new contact phone number to the client?s personal profile even though there