Complex Type 1 Investment Consultant

Complex Type 1 Investment Consultant

Complex Type 1 Investment Consultant

made up evidence to camouflage that the person who ordered the trading transactions was the account owner to conceal such trading information from AEC and the regulator2. {C}'s case was deemed a failure

transactions according to the order of the account owner or the authorized person. Moreover, he made up evidence to camouflage that the person who ordered the trading transactions was the account owner to

disclosure of information that is insufficient and incomplete for investment decision making, or misleading to investors in a manner of concealing, disguising or fabricating information in the particulars, or