Complex Type 2 Investment Consultant
Plain Investment Consultant
money to the company as originally intended by the client. Instead, he used the money for his own benefit. As a result, the client’s life insurance policy became ineffective and the client suffered
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
apply for an applicable license with SEC. In this regard, SEC adopts the regulations on business conducting for “Digital Asset Investment Advisor” and “Digital Asset Fund Manager” purporting to ensure