and financial status of securities firms to cope with market volatility resulting from ongoing global financial crisis. Additional measures for client asset protection were also considered. SEC
regulations of all daily routines. In addition, the know your client rule must be adopted to identify the client?s investment objectives and actual beneficial owners. Informing clients of risks that may arise
from the clients? trading accounts, using a client?s account for securities trading of another client to avoid exceeding credit limit, and making unauthorized trading decisions without clients? orders
client, client suitability, information disclosure, and clear and fair contract rules are all required. This is to assure that all derivatives fund managers will have the same minimum standards in
subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
licensed to undertake derivatives business in the category of derivatives brokerage. “ assets of client ” means: (1) assets which a derivatives broker receives or holds as collateral for satisfying
shall proceed and complete its amendment at the earliest occasion, provided that it shall take into account the best interests of its client. Nevertheless, the amendment process should take less than 30
Statement for Futures Trading. Date……………………….. The …………...…………………….. company, a derivatives broker, hereby certifies that Mr./Mrs./Miss…………………………. who works for the company has explained to the customer, Mr