and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the
: ?The SEC has been the key supporter of the Classs Action Law from the very beginning because it could be an effective channel for protecting investor?s rights in the capital market. Since the law came
90 days (within 14 August 2018) to continue their business until an order to discontinue their businesses is given. Earlier, SEC disclosed the names of seven digital asset business operators asking
market funds are likely to grow in size and emerge as an alternative for people looking for the place to park their cash.
market funds are likely to grow in size and emerge as an alternative for people looking for the place to park their cash.However, money market funds are currently subject to more stringent rules than other
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
, and do not incur the unreasonable costs comparable to their size of business.”“SEC prepares microsite “Start to Grow” as a gift for SMEs, Startups and public to learn and understand the fundraising