September 2013; “software program” means any calculation system which displays an analysis to give advice on the value or the appropriateness of any investment in securities or derivatives; “IT assets” means
and management of data and big data, which could help to develop, improve, and elevate internal data governance to support high-quality, secure data management and increase efficiency. The event took
title; “investor contact” means any person who has duties to contact, solicit, advice or prepare investment plans for investors or customers of a securities company and are divided into two categories
The SEC encourages the investing public to be cautious when solicited to take investment advice or use services of unlicensed operators of securities, derivatives and digital asset businesses
The seminar series will showcase a pool of knowledge and advice from certified financial planners (CFP) and experts on financial, investment and debt management. Investors and the interested public
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
provide convenient, accessible channels for members seeking investment advice; 3) To provide investment advice on basic asset allocation; 4) To provide a standard fact sheet for fund committees to use as a
., Ltd. but he kept repeating the same mistakes.Investment consultants must keep taped evidence of their investment advice and a client's trading orders when obtaining derivative trading orders from
orders from her clients and has already been cautioned two times by SCB Securities Co., Ltd. and the SEC.An investment consultant must keep tape evidence of all investment advice and a client's securities
Mr. Neil Callard. Mr. Neil Callard. - as Account Manager, the representative office solicited the foreign investors to make investments according to Gilt Edge’s advice and management to earn tax