accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
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