? pre-determined investment scope.The proposed rules have taken into consideration the public?s and stakeholders? comments and suggestions collected from the hearing on the guiding principles in last
"Stable". RML acknowledged the downgrade credit rating result prior to the effective date of Filing Form but RML did not reveal this credit rating in Filing Form. 27/12/2021 agreed to comply
liable for RML’s failure to reveal the downgrade credit rating which should have been stated in the registration statement and draft prospectus (Filing Form) in materiality. 27/12/2021 agreed to comply
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “ control ” means control as determined
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “control” means control as determined
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “control” means control as determined
) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
securities which is not reveal to public and the securities known by its business operation; “investor contact”1 2 means a person who contact, solicit, giving advice or prepare an investment plan to the
an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to public and the securities known by its business
material information which has not yet been disclosed to the public. 01/04/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :