past conduct; the cooperation or obstruction with SEC’s investigation; and any previous record or past behavior which indicating that the subject person is not fit and proper to work in capital market
person under consideration; the penalty he/she has already served; the impacts, loss or benefit incurred; any steps taken to rectify past conduct; the cooperation or obstruction with SEC’s investigation
orders in large volumes. The practice may aim to mislead other investors by creating a false impression of escalating bid or offer demands at a given time, or it may be an obstruction to the buying or
or offer demands at a given time, or it may be an obstruction to the buying or selling activities of other investors, consequently compelling them to send trading orders at prices higher or lower than
burden to investors, which could develop into an obstacle for accessing investment services and products in the capital market. SEC therefore is proposing the regulations on the use of a single form for
and undertaking of digital asset businesses without causing undue hindrance to stakeholders and those interested in providing digital asset-related services or compromising appropriate investor