investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous
/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013; (2
business cessation; however, to ensure proper proceeding of related matters including notification to the clients regarding asset refunds or asset transfers to other digital asset operators according to the
clarification of the facts in such case within 29 March 2023, in relation to the impacts on the company and the clients as well as further actions to be taken by the company. In this connection, Zipmex was
securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and
derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The
-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well as the capital market system.The consultation paper is available on
operations during rectification period and undertakings in case of failure to rectify. The proposed revision aims to mitigate undesirable impacts on securities firms? clients and counterparties as well as the
solicitation or providing services for clients, information disclosure, advisory service, information or report filing with the SEC, prevention and management of conflicts of interest, and services provided by
found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the