process organized by the Office shall have the following characteristics: (1) The dispute arising from the respondent’s failure to comply with the contract, the Securities and Exchange Act, the Provident
consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset , (3) use of the client's trading account to trade
investment consultants consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset , (3) use of the client's
stocks in a manner that manipulated the prices of FVC storks during the aforesaid periods. This constituted dishonest performance of his duties and failure to protect the interests of the clients
), as per the specified legal procedures, passed a resolution requiring Zipmex to rectify its operations within 15 days regarding the failure to manage its business and personnel properly, adequately and
clients or proceed as per their requests. If the clients do not claim their assets, Zipmex must deposit them in a trusted and secure system to protect the clients’ interests. Due to its failure to
operations of all types are being suspended, as ordered by the SEC on 24 November 2023, as a result of its failure to maintain net fund as required by law. Furthermore, during this suspension order, Zipmex
finance ecosystem to ensure effective outcomes. “The SEC continues promoting Transition Finance, which is a key initiative to achieve the Net Zero Goal. Failure to act could pose a risk to
appropriate rectification evidence is deemed failure to rectify its operation as per the CMSB orders. By virtue of Section 143, Paragraph 1 of the SEA, the CMSB therefore ordered suspension of Renaissance’s