Diligence (KYC/CDD) and credit line review practices, particularly for those clients who have traded securities under cash balance rule or inappropriately transferred their securities to raise credit limits

Singapore and/or other affiliated companies as designated, effective from 8 May 2022. According to The Securities and Exchange Commission ("SEC")'s findings, Zipmex Thailand clients'

Data Resources Asia Co., Ltd. Between July 2004 and 17 December 2004, Data Resources Asia Co., Ltd. with other alleged persons operated securities brokerage business, soliciting foreign clients to

Mr. Robert Edward Jowett Between July 2004 and 17 December 2004, Mr. Robert Edward Jowett with other alleged persons operated securities brokerage business, soliciting foreign clients to invest in

each departments and staffs as well as having measures for emergency cases whereby procedures and responsible persons should be clearly prescribed. Clause 4 . Derivatives broker who wishes to use back

and staffs as well as having measures for emergency cases whereby procedures and responsible persons should be clearly prescribed. Clause 4. Derivatives broker who wishes to use back office service from

Chinese Wall among each departments and staffs as well as having measures for emergency cases whereby procedures and responsible persons should be clearly prescribed. Clause 4. Derivatives broker who wishes

of Enforcement : -- All -- Administrative Orders Administrative Sanctions Cases Settled Civil Sanction Criminal Complaints Date from : To : Keyword : Search   Relevant Informations > Criminal Sanction

: Type of Enforcement : -- All -- Administrative Orders Administrative Sanctions Cases Settled Civil Sanction Criminal Complaints Date from : To : Keyword : Search   Relevant Informations > Criminal

However, the rules do not prohibit digital asset brokers from providing meme token services to clients on the condition that they must act as broker or agent in trading and exchanging digital assets