a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the
had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
order form (Form F8) despite the fact that those trading orders were made via mobile phone. Use of Form F8 therefore was inappropriate submission of trading orders because such Form must be used in
10.32 Processed Food 206 4.96 212 5.44 (6) (2.72) 407 4.91 428 5.48 (21) (4.95) Total Sales 4,165 100.00 3,902 100.00 263 6.74 8,285 100.00 7,803 100.00 482 6.17 Revenue from Sales The consolidated
) 2,613.46 31.44 2,750.07 35.66 (136.61) (4.97) Processed Food 181.68 4.18 164.25 4.13 17.43 10.61 362.46 4.36 340.35 4.41 22.11 6.50 Total Sales 4,346.60 100.00 3,979.59 100.00 367.01 9.22 8,312.61 100.00
20.29 (215.64) (12.83) Farm & DOC 1,301.17 32.67 1,250.93 30.03 50.24 4.02 2,750.07 34.63 2,466.32 29.77 283.75 11.50 Processed Food 164.25 4.12 206.43 4.96 (42.18) (20.43) 340.35 4.29 406.63 4.91 (66.28
) Feed 865.60 19.16 898.27 20.42 (32.67) (3.64) 2,330.68 18.71 2,578.99 20.33 (248.31) (9.63) Farm & DOC 1,399.58 30.99 1,318.43 29.97 81.15 6.16 4,149.65 33.31 3,784.75 29.84 364.90 9.64 Processed Food
31.15 (166.64) (11.91) 3,846.39 29.92 4,149.64 34.00 (303.25) (7.31) Processed Food 182.31 4.01 186.05 4.14 (3.74) (2.01) 544.77 4.24 526.40 4.31 18.37 3.49 Total Sales 4,544.26 100.00 4,492.38 100.00
Holding Company investing in retail business such as mobile phone distribution and accessories, non-performing debt management, real estate development, hire purchase (associated company), personal loan
Processed Food 216.66 4.92 243.29 5.52 (26.63) (10.95) 623.29 4.91 671.11 5.49 (47.82) (7.13) Total Sales 4,399.39 100.00 4,410.51 100.00 (11.12) (0.25) 12,683.92 100.00 12,213.56 100.00 470.36 3.85 Revenue