services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action
this Notification or has improper conducts, the SEC Office may order such person to rectify, act or omit from any act for compliance with this Notification. Clause 10 All notifications of the Office of
any derivatives broker violates or fails to comply with this Notification or rules set out by the derivatives broker for compliance with this Notification or has improper conducts, the SEC Office may
customer base which the campaigns has been well received by customers. The number of “Boonterm Kiosk” in current total is 129,208 kiosks, decreasing 0.9% YoY, due to damaged kiosk from improper methods. The
rating; (8) investment advisory company shall not undertake any improper act which may cause damage to the user of information, mutual fund, asset management company, or confidence in securities business
. Focusing on the firms’ ability to fulfil the training needs of their staff and performance evaluations in our second-cycle inspections, we have encountered the following instances: Improper human resource
be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action. Clause 8 An intermediary shall
cash, things or services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary’s resources for wrongful action or support