clarification of the facts in such case within 29 March 2023, in relation to the impacts on the company and the clients as well as further actions to be taken by the company. In this connection, Zipmex was
securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and
derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The
-date and practical framework and aim at mitigating undesirable impacts on securities firms? clients and counterparties as well as the capital market system.The consultation paper is available on
operations during rectification period and undertakings in case of failure to rectify. The proposed revision aims to mitigate undesirable impacts on securities firms? clients and counterparties as well as the
solicitation or providing services for clients, information disclosure, advisory service, information or report filing with the SEC, prevention and management of conflicts of interest, and services provided by
found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the
their professional roles are concerned, to ensure sustainable returns for their clients. In addition, to earn a recognition for good corporate governance practices, an institutional investor should put in
draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients
report from Phatra Securities Plc. that {A} failed to record many securities trading orders of his clients. {A} admitted that he took such trading orders via mobile phone.Failure to record client's