control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code

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

COL 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