misconducted profiles from public fundraising. In the former rules, any misconducts found during PO submissions such as forged accounting, issuer would only subject to disapproval, while, the recent revised

2013: 23 member countries in the European Union; and three (3) countries in the European Economic Area (EEA). The signing has forged cooperation and exchange of information regarding supervision and

the one who forged the client?s signature in the investment unit buying order for himself, using money that Thanjira had taken from the client?s private fund and investment unit accounts. The signature

According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged

clearly be identified that they are forged; (5) a client whose transaction has been reported by the securities company as a suspicious transaction; (6) a client whose occupation or business is classified by

clearly be identified that they are forged; (Unofficial Translation) - 6 - (5) a client whose transaction has been reported by the securities company as a suspicious transaction; (6) a client whose

documents which can clearly be identified that they are forged; (Unofficial Translation) - 6 - (5) a client whose transaction has been reported by the securities company as a suspicious transaction; (6) a