decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
the theme ?The successful world at your backyard?, the SEC booth aims to promote that saving and investment are not as something distant but relevant to everyday life. As such, everyone should start to
to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was