investment loss must be provided and records on giving advices to clients must be kept.
decisions on the client's behalf for a period of time. {A} admitted that the client allowed her to make trading decision to adjust the transferred securities from another securities company and she kept
directly to retained earnings when the asset is retired. The SEC thus instructed ABC to rectify such financial statements, and submit to the SEC and publicly disclose the reviewed financial statements by
. _______________________Remark: * Key means a cryptographic key or any other data that must be kept confidential in order to be used for approval of transfers or transactions related to digital assets in digital wallets.
, for example, direct transfer to the service provider’s account or electronic payment receipt channel. In any case, temporary payment receipt slip must be kept as evidence every time a payment is made
and provide data for systemic risk management. The data must be kept for at least five years from the transaction date; 2. A derivatives broker may become a debtor by judgment or a
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
Thailand on irregular trading in SLC shares during March 31 - April 29, 2010, the SEC probed into the case and found records kept by the suspects regarding the details of the group trading in SLC shares
client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own
’ digital assets must be kept by a digital asset custodial service provider.