its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records
and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records of assets of each client
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
knowledge on financial, investment, and deposit protection, as well as to raise caution of investment scams. The topics covered deposit protection, the “Three Knows” (Know Oneself, Know Others, Know Own Risks
invest in such products should proceed with extra caution since:(1) The product above has not been screened with regard to its qualifications and smart contracts by SEC-approved ICO portals; (2
Company has approved the transaction. The Company hereby certifies that all information in this Information Memorandum is correct, complete, and contains all important information that shall be informed
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
] the intermediary ’s personnel would be able to complete their functions correctly and will not make the intermediary breach or fail to comply with applicable laws and regulations, including relevant