management of private funds for a client: (1) A client of a private fund shall comprise private individuals/a group of persons with a number of not over 35 persons; (2) The private fund management company
management of private funds for a client: (1) A client of a private fund shall comprise private individuals/a group of persons with a number of not over 35 persons; (2) The private fund management company
keep complete records of a number of securities trading orders. He also admitted that he received the trading orders from the client via Line Application and mobile phone.Making trading decision on
/2543 Re: Custody of Client Assets of a Securities Company (codified as of 28/03/2002) (Synopsis) 04/01/2000 01/04/2000 2. Notification of Capital Market Supervisory Board TorThor 9/2551 Custody of
complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within
complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within
accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's
, or opening a digital wallet for the purpose of using digital assets as a means of payment for goods and services, etc.; (2) In the case where a digital asset business operator finds that a client
check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The
.; (2) Conduct a Know-Your-Client (KYC) due diligence to verify the identity of the investor or the ultimate beneficiary, proceed in accordance with (1) before approving an account opening to ensure that