trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
found a growth of new investor base and gradual change of investment behaviors. It also indicated that financial industry needs to offer more retirement products for increasing aging populations. In
increased 3.6% from 2015. Debt to Equity ratio of 0.42 times in 2017, dropped from 2016 and 2015 of 0.45 times and 0.43 times, respectively, the level at which signified reasonable capital structure and low
or action happening or caused to happen or reasonably believed to likely happen, which may give rise to material and adverse impact on PCCA or jeopardize the execution of this transaction as indicated
reasonably believed to likely happen, which may give rise to material and adverse impact on PCCA or jeopardize the execution of this transaction as indicated in the Entire Business Transfer Agreement; (3) PCCA
operation during February 2018. From the financial performance of MK’s main business, this indicated that MK Group not only had growth potential but also improved in gross profit margin in every business
maintenance margin in respect of any derivatives position, the amount of the initial margin and maintenance margin for such position by contract shall be indicated; (2) The market price of derivatives contract
derivatives position, the amount of the initial margin and maintenance margin for such position by contract shall be indicated; (2) The market price of derivatives contract at the end of business day; (3) The
for six months and one month, respectively starting from December 25, 2558. The SEC's further inspection also indicated deficiencies of AEC's core work systems in three areas as summarized below
inspection also indicated deficiencies of AEC?s core work systems in three areas as summarized below: (1) KYC/CDD: many clients entered into trading transactions significantly unsuitable for their