advanced technologies from overseas can generate high returns for investors on a daily basis and even higher gains if the existing investors successfully solicit others to join the investment scheme
must not have behavior showing any objectives to engage in investment advisor business and must be registered with SEC. Even though the investment planners are waived in this matter, they are required
real estate project. The IPO offer price was also mentioned in the interview, but not provided in the registration statement and draft prospectus even though such material information could influence
for the investment fund allocated to two affiliates ? Sport Event International Inc. and Global Legend Series Ltd. Services Ltd. ? even though there had been an indication that the value of the
transfer was prearranged, starting from Auracha's opening a trading account for her mother without declaring their relationship to the company and arranging for the transfer even though it was not her duty
the company and arranging for the transfer even though it was not her duty to do so and she was not the investment consultant in charge of such client?s account. Auracha later arranged for AEC back
SEC order until now, EARTH has not assigned an auditor to conduct the special audit even though EARTH has the capacity to do so. The SEC, therefore, has rejected the extension request. Due to EARTH?s
found that Bantherngsak gave the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
for different risk levels and thus functions as a guideline for the business operators to give investors even more appropriate investment advices. At this juncture, the SEC wishes to invite all business