, not have records of commission of offense under the laws governing the business operation of such persons, the laws governing anti-money laundering or any other laws relating to financial businesses
SEC Search Search From : Home > Search > Search Results search: Documents Any Documents Microsoft Excel ( 1 ) http://172.19.1.196:8983/solr/secweb/select?q=digital asset OR "digital asset" OR
SEC Search Search From : Home > Search > Search Results search: Documents Any Documents Microsoft Excel ( 5 ) http://172.19.1.196:8983/solr/secweb/select?q=digital asset OR "digital asset" OR
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows: (1) DA operators would be required to keep records related to the
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
the category of securities brokerage shall keep documents relating to the giving of advice including analysis report or any other documents supporting the giving of advice for at least two years from
undertake securities business in the category of securities brokerage shall keep documents relating to the giving of advice including analysis report or any other documents supporting the giving of advice for