by conducting the process of Know Your Client (KYC) so that they can provide appropriate services. Nowadays, an electronic KYC or e-KYC has been introduced to make KYC processes faster and become
. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading
to certain types of personnel; for instance, wealth advisor who gives advice on asset allocation and selects suitable securities for individual client, investment analyst, and fund manager, in
orders via mobile phone.Making securities trading decisions on behalf of the client and failure to record the client's securities trading orders are, respectively, in violation of Clause 20(2) and 20(3) of
} did not record a number of client's securities trading orders. Certain records found in the course of inspection indicated that he prepared the securities trading report for the client by using trading
trading transactions of a client making orders in the trading room.Investment consultants must keep a full and complete record of all investment advice as well as clients? securities and/or derivatives
collateral placement for a client's KTB securities trading account. Panadda was responsible for the said trading account and she also had a personal relationship with the client who was the account owner. She
date, investment entering price, method of procurement of benefit, category of client, value appraisal date or latest value appraisal reviewed date, appraised value or the latest reviewed appraised value
new directors to hold more than half of the board seat, and will appoint executives to hold key managerial positions, including the Chief Executive Officer (CEO) of the Company. The said Allocation and
more than half of the board seat, and will appoint executives to hold key managerial positions, including the Chief Executive Officer (CEO) of the Company. The said Allocation and Offering of the Newly