for such trading was made from the client account by {A} without the knowledge of the client.The {B} case was also lodged by an investor. The SEC's finding from an examination of conversation records
her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November
transactions, concealing such B/E sale by omitting the sale transactions from the company’s accounting records, and concealing the fraud by extending the maturity terms of such B/E issues several times. The
account for receiving the B/E transfer transactions, concealing such B/E sale by omitting the sale transactions from the company’s accounting records, and concealing the fraud by extending the maturity
, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts
behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the
-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and reporting of suspicious transactions. The policy mentioned in
clients. In addition, we remained cautious in credit underwriting of small and micro businesses, and focused mainly on existing customers with good track records or classified as low-risk customers. 2.2
/CDD) (4) reporting of suspicious transactions under anti-money laundering legislations (5) record keeping and retention of records in relation to know-your-client/ customer due diligence process and