%20Responsibilities_2013.pdf Custodians Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or paper form. In many cases this will
%20Investor%20Responsibilities_2013.pdf Custodians Custodians are responsible for the safekeeping and maintaining of records of the collective investment vehicle’s assets, be these in electronic or paper form
means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. Therefore, the SEC
records and its disclosure of liabilities in the financial statements as previously reported in the application for business rehabilitation. The results of the special audit must be disclosed within 30
make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading
that he notified his clients of trading orders at night and failed to keep records of all clients' trading orders. Conversations between {A} and the clients found on the records also indicated the
amounts of the interests were recorded as income in the GLH’s financial statements, which was considered fabrication of accounting records and exaggeration of GL operating results. Mr. Konoshita’s
committing fraud, misappropriating the company's assets and falsifying accounting records by executing concealed transactions through several associated companies abroad to exaggerate the company's operating