market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders.  He

abreast of the market situation, to be able to make decisions to trade capital market products on behalf of their clients, provided that consent from the clients must be obtained and such investments

carefully supervise their investment consultants to provide investment advice to their clients based on securities? fundamental factors. The investment consultants are also required to remind investors to

carefully supervise their investment consultants to provide investment advice to their clients based on securities? fundamental factors. The investment consultants are also required to remind investors to

Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the

carefully supervise their investment consultants to provide investment advice to their clients based on securities? fundamental factors. The investment consultants are also required to remind investors to

Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume.  He

operators have different in sizes, target audience, and number of clients. Therefore, it depends on the business operators to find the most appropriate method to perform e-KYC as long as they follow the

such permission.In performing their duty, an investment consultant can send trading orders only when obtaining orders from the clients. Even with the client?s permission; they cannot make decisions on

trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client.  In this regard, {A} and {B}'s actions were in violation of