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
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
company directors and management for the purpose of monitoring and imposing administrative sanctions ● Closely monitored listed companies’ involvement in inappropriate connected transactions Improve quality
asset management firms, and revises regulations governing advertisement of financial products to prevent improper distraction or solicitation that may cause investors to misunderstand the true objective
the following orders: rectification of non-compliance operation, restriction of defective business operation, disclosure of improper behaviors, and suspension or revocation of approval, etc
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