penetration testing frequency to once every three years, increasing controls for generic user accounts, and maintaining incident records for at least two years with root cause analysis; (4) To adjust the
value of each year for the last three years, and trading suspension records;(5) To prepare financial statements for the past three years and the latest quarter in accordance with the determined
securities for the client's account. Besides, communication records between {A} and his client showed his promise to payback. Making trading decisions on securities in the client's account without the client's
trading decisions for the client. From examination of communications records, there was no sources of the orders; just transaction confirmations made by such investment consultant and the conversations
for such trading was made from the client account by {A} without the knowledge of the client.The {B} case was also lodged by an investor. The SEC's finding from an examination of conversation records
her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November
, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts
behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the
Commission No. SorDor. 46/2552 Re: Documents and Evidence for Applying for Approval of Regulations of Derivatives Exchange and Derivatives Clearing House ---------------------- By virtue of Section 14, Section