the duty of investment consultants to record them along with conversations at all times for evidence. The SEC places high importance in this matter because it will be beneficial to both investment
trading decisions for the client. From examination of communications records, there was no sources of the orders; just transaction confirmations made by such investment consultant and the conversations
that he notified his clients of trading orders at night and failed to keep records of all clients' trading orders. Conversations between {A} and the clients found on the records also indicated the
moderator. The topics of the conversation were: (1) Possible approaches for promoting conversations and discussions among investors, developers, business operators and the public sector; (2) Potential risks
year?s discussions focused on two key areas. First, the use of Audit Quality Indicators (AQIs) to spur deeper conversations on audit quality matters between audit firms and stakeholders such as audit
. In this regard, the fact found from their conversations recorded was corresponding to his admission. It was also found that the client acknowledged the transactions via SMS all along and consistently
from investigation that the client instruction was unclear and certain conversations could indicate that {F} had made unauthorized gold futures trading decision and informed the client afterward
conversations while providing advice and accepting trading orders which prevents eliminating, adding, editing or changing of the content of the conversations, etc.; (3) an efficient system for receiving and
-to-know basis and prevents unlawful use of such information; (2) a system for management and storage of data, documents or relevant evidence, for example, efficient records of conversations while