found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the
intermediaries.? The amendment proposal aims to strengthen IT security protection for intermediaries to cope with potential new types of risk arising from the use of new technologies such as mobile devices and
to consultation papers and more convenient participation in the hearing process. The website is accessible via multiple devices such as desktop, tablet and mobile phone, to fit the users
) to (4) had purchased MAKRO shares based on non-public information material to the price of MAKRO shares. The findings revealed records of purchase transactions in the trading accounts of the four
SEC?s probe found that during April 23 ? May 14, 2012, Sermkhun had purchased CMO shares through his securities trading account by using non-public information material to CMO share price concerning CMO
when the SEC lays out further guidelines for supporting SMEs access to capital market fundraising. 3) Launching mobile application SEC Check First and web-based application Retirement Checkup, SEC’s two
number of money transfers through the client's ATS saving account to pay for the purchased securities. Moreover, {A} sold the client's securities and use the money for setting-off the payment for the
money transfers through the client?s ATS saving account to pay for the purchased securities. Moreover, {A} sold the client?s securities and use the money for setting-off the payment for the securities
the client of FIFO criteria applied by the Revenue Department. Accordingly, instead of the LTF investment units purchased in 2013, the selling order resulted in deduction of the units purchased two
a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the