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

. (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

latter to use her authorized trader ID to access the trading system for the purpose of canceling a client?s trading order as instructed by the client. However, the order had already been executed, so

., for one-year eleven months and fourteen days. The period was set on the grounds of trading securities in the client?s account without permission, taking advantage of client by virtue of duty and

}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving

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