duties with honesty by disguising that trading decisions were made by client; and seeking benefits during performance of duties. Following the complaint lodged by client of KT ZIMICO Securities Company
customers with integrity, honesty, quality, fairness and equality. In a case that a digital asset business operator will outsource other parties, the business operator is required to follow the notification
as a listed-company director with responsibility, prudence, honesty and integrity. As a result, the Civil Penalty Consideration Committee ordered Mr. A to pay a civil fine and compensate the SEC for
operators. The revised regulations require the said licensees appoint independent directors to perform their duties with honesty and trustworthiness for customer interest and thus aim to ensure efficient
preventing investors to fall victims for fraudulent solicitations, as well as being a mean of elevating the protection for investors.”The public can use SEC Check First application to search information on
does not necessarily mean 1:1 ratio.
.__________________________ Remark: * Insurance companies mean life insurance companies and non-insurance companies, excluding local branches of foreign life insurance companies and foreign non-life insurance
Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Handbook on ACMF Pass under ASEAN Capital Market Professional Mobility Framework Issued: January 2019 Updated: September 2019 2 Contents 1. Introduction 3 2. Definition 4 3. Guidance on ACMF Pass Framework 3.1 ACMF Pass overview 5 3.2 Permitted activities 6 3.3 Application process 9 3.4 On-going obligation 9 3.5 Monitoring, supervisory and enforcement mechanism 11 3.6 National regulations regarding the approval proc...
357,000,000 to the Seller by mean of Private Placement as a payment of the 10,710,000 Sale Shares. The exchange ratio shall be 1 ordinary shares of S-TREK to 4.7619 shares of the 2 Company. The payment for and
for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and