conceal shareholding information, which could lead to inappropriate behaviors in the capital market or a lack of information that may affect investment decision making of investors. The SEC is therefore
Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full
notified him of inappropriate submissions of trading orders for UNIQ shares, he neither promptly improved the trading submission surveillance system nor applied more stringent monitor on the clients? trading
, deemed inappropriate by IFA SEC advises EVER shareholders to vote on a proposed purchase of land and buildings from a connected person, deemed inappropriate for approval by IFA SEC advises NCL shareholders
transaction was unreasonable and inappropriate. For example, the interest rate of 2% per annum is relatively low compared with an investment with lower risks, and the interest rate is also lower than other
prepared by other members of the Tax working group to ensure clarity and provide a basis for any bilateral discussions that may be appropriate. The JC recognizes the importance of avoiding any inappropriate
under (1) first because it reflects the true value. If the weighted average price cannot be calculated or should there be a resonable ground to believe that such weighted average price is inappropriate
according to the disclosed information in prospectus, for instance, acquisition or disposal of assets, related party transactions or takeovers; Inappropriate behaviors of executives or directors, for instance
Increasing Market Confidence Group 2: Measures for supervising inappropriate trading behaviors Measures Details Timeline 2.1 Disclose information on investors with inappropriate trading behaviors • To disclose