Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for
usually represented themselves as agents of foreign derivatives brokers licensed by foreign regulators and thus required no authorization from the SEC. Falling into the trap by transferring money to these
supervision (i.e., listed companies, brokers, dealers, asset management companies and collective investment scheme), the SEC has regulated individual auditors and monitored individual auditors? work since 1993
performing any action in violation of law.The SEC probe into the case and found that the four investment consultants, responsible for securities trading accounts of overseas brokers (omnibus account