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
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
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
through his client's account without evidence of client's orders. The SEC found out from the recorded conversation between {A} and the client, which showed that the client had entrusted {A} to send trading
operators warnings regarding client asset keeping on their websites and applications.The SEC views that digital asset investors should receive notifications in order to be aware of and able to use or store
digital asset business operators warnings regarding client asset keeping on their websites and applications.The SEC views that digital asset investors should receive notifications in order to be aware of
/News_Detail.aspx?SECID=7877 SEC public hearing on draft regulations regarding information disclosure and risk warnings to clients of digital asset business operators warnings regarding client asset keeping on their