securities via her nominee's securities account but failed to prepare and disclose report on changing in her holding (Form 59-2) to the SEC Office within the period specified in the notification of the
securities via his nominee's securities account but failed to prepare and disclose report on changing in his holding (Form 59-2) to the SEC Office within the period specified in the notification of the
Securities Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in complex fund sale system accordance with the