public as gold futures trading agents. They also advertised and solicited the investing public to open gold futures trading account and conduct trading transactions through the following websites
make sure that the clients would open a separate trading account from a traditional one and prepare service agreements and comply with the existing rules on work systems and professional duties.In light
? employees have represented themselves to the general public as gold futures trading agents of foreign companies. They have advertised and solicited investing public to open gold futures trading account and
Limited, the SEC further probed into the case and found that {A} persuaded the client to open the securities trading account and traded securities on behalf of such client. It was found that {A} determined
inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions. Even though the relationship between clients and employees was found out, the
) surveillance system to prevent conflicts of interest: the system was found to be inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions
undertakes business related to capital market for four months, effective since 4 September 2017. In the case of (5), {E} advised a client to open a mutual fund trading accounting instead of a fixed deposit
Provisions ________________________ Clause 10 In cases where an intermediary is required to make an agreement with a client before providing services, whether in the form of an application to open a trading
services related to any capital market product having high-risk or complex characteristics shall comply with the regulations under Chapter 6; (6) receiving trading orders of capital market products having
categorized by the types of goods and variables: (1) price quotation and trading volume; (2) trading price; (3) trading volume; (4) open interest. Clause 12 A derivatives exchange shall create a system for