submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A
trading orders via the phone with call recorder. Making securities trading decisions on behalf of client and failing to completely record client's securities trading orders were in violation of the Clauses
development, future business direction, and the participation of all relevant sectors, both governmental and private sectors, to recover investors’ confidence will also be addressed.3. Together towards
}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
transaction volume to use of standby subordinated loan facility to recover NC shortfall on a temporary basis which will reduce costs for seeking short-term finance. (2) To require the business operator
, have played a critical role in supporting businesses and individuals through the Covid-19 pandemic. Now financial services have an equally important role to play as we recover - fostering a new, better