ecosystem to ensure that investors have sufficient knowledge and understanding of the subordinated perpetual bond by (1) revising the risk acknowledgment form for clearer and easier presentation including
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
’ acknowledgment or consent. _________________________Notes:* At-The-Open order (ATO) is an order to buy or sell securities at the session’s opening price. Trading orders of this kind are sent during pre-open
for new employees; employees annually sign for acknowledgment of the rules and penalties; the code of conduct is publicized for employees and outsiders. 1.3 There are procedures to monitor and assess
derivatives exchange for the acknowledgment of members or involved persons of the derivatives exchange. Clause 17 Derivatives exchanges shall establish adequate measures to prevent directors, executives, sub
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
However, the submitted information still lacks main points to accompany consideration. The SEC has therefore instructed Zipmex in writing to provide complete details of the incident, which includes
Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and