【NYSE】米国株やってる人の溜まり場6532【NASDAQ】

[過去ﾛｸﾞ] 【NYSE】米国株やってる人の溜まり場6532【NASDAQ】 (1002ﾚｽ)
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425: 山師さん 警備員[Lv.6][新芽] (ｻｻｸｯﾃﾛﾗ Spaf-Gof6 [126.157.44.115]) [] 2024/12/03(火) 20:11:03.14 ID:JpSb2vhhp

FORM 6-Kにこんな恥ずかしいこと書いてある企業あるんだな

16. Misconduct, fraud or other criminal activity by an employee, director or officer, or any third party, could occur, and our reputation in the market and our relationships with clients could be harmed

We always face the risk that our employees, directors or officers, or any third party, could engage in misconduct that may adversely affect our business.

Misconduct by an employee, director or officer includes conduct such as entering into transactions in excess of authorized limits, acceptance of risks that exceed our limits, concealment of unauthorized or unsuccessful activities, or criminal or other unlawful actions against customers or their families.

The misconduct could also involve the improper use or disclosure of non-public information relating to us or our clients, such as insider trading, improper transmission of such information and the recommendation of trades based on such information, as well as other crimes, which could result in regulatory sanctions, legal liability and serious reputational or financial damage to us.

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