. Nonetheless, she neither examined KYC/CDD documents of the client and the beneficial owner, nor recorded the beneficial owner's identity. In this case, the beneficial owner was an executive and a shareholder of

orders where the purchase were initially paid by her family's money and later by her own money.Using client's account to trade securities for her own benefits was in violation to the Notifications of

trading decisions on behalf of the clients, regardless of the client's permission or authorization. In this regard, {A}'s action was deemed as obtaining authorization from clients to make securities trading

case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents

shareholders meeting to appoint new directors to fill vacancies, while serving as IFEC director and chief executive officer. In addition, the SEC investigation found that {A} disobeyed the board of directors

According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012,  executed securities trading orders for the client who acknowledged

According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading

Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to

personnel for a period of five years, starting from 4 August 2020.In case of deciding to buy an investment product at a place which is not the service provider’s office, investors are advised to avoid

client that, from the effective date to the closing of tender offer, the client was not allowed to purchase EIC securities by any means other than those specified in the tender offer. {A}'s conduct was