market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders. He
Following the issuance of regulations on information technology systems in 2022*, the SEC recognizes that the current rules should be updated to enable business operators in the capital market to
for such trading was made from the client account by {A} without the knowledge of the client.The {B} case was also lodged by an investor. The SEC's finding from an examination of conversation records
behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the
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e-service Online Submission See canceled document Derivatives Agent >> Books & Records Requirements Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital
e-service Online Submission See canceled document Derivatives Dealer >> Books & Records Requirements Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital