check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The
includes inspection of audit firms’ quality control systems, which has been running since 2010. According to the Activities Report 2021, audit firms in the capital market have continued to improve their
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1
Following tips and the SEC’s further inspection, it was found that {X1} has provided platform services for trading or exchanging digital assets via its website by matching orders or arranging for the
The SEC’s inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and
Following a tip from a reliable source and SEC’s further inspection, SEC finds that Devere & Partners and Mr. Ian Mcintyre had operated securities brokerage and investment advisory businesses
complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within
Following public referrals and the SEC’s further inspection, it was found that investment in the aforesaid digital tokens had been solicited online via several social media channels such as website
center on September 27, 2023.The SEC conducted an onsite inspection and gathered evidence in this regard, reaching out to the event organizers and urging them to cooperate and cease the participation of