to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be
office to confirm the share transfer with a person who was believed not to be the true owner of the trading account, and adding a new contact phone number to the client?s personal profile even though there
The Securities and Exchange Commission (SEC) has considered it is appropriate to change the substitution holiday for New Year’s Day from 2 January 2024 to 29 December 2023, and to confirm that 30
other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure
DA operators will have a proper organizational structure with checks and balances in their management and the board of directors will be able to perform their duties more efficiently, taking into
operators to deal with Covid-19 situation. All of them confirm the readiness to provide services related to securities trading continuously and have business continuity plans in case of emergency. In
transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s
misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the
news updates and prepare documentation regarding their bondholding in case it becomes necessary to confirm their bondholder status. Additionally, the bondholders should study their rights under the
persons, companies, or investment products relating to securities and digital assets, as well as to verify the legitimacy of the licenses of SEC-approved businesses, which can be found in the Investor