| 作者 |
 骗子唐炜臻 |
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| 所跟贴 |
are you an investor or associated person? If AP, CFTC needs -- moneymaker - (17 Byte) 2009-3-13 周五, 11:38 (516 reads) |
not_a_CTA
头衔: 海归准将
声望: 讲师
加入时间: 2005/07/03
文章: 600
海归分: 133607
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作者：not_a_CTA 在 海归商务 发贴, 来自【海归网】 http://www.haiguinet.com
I am not an AP.
You are absolutely right. In US, AP, IB, CTA, CPO and FCM are all required to pass series 3 test , and to be resisted with NFA/CFTC.
Everything I know about Mr. Tang is from the Internet.
From what I read a lot of things he did obviously would have violated the regulations/rules if he were in US, very unprofessional, regardless if he is a good or a bad trader.
He did have a legal issue with one of his clients many years ago, and he?his wife was charged by the regulatory service later, and the qualification was disapproved. But he denied any wrongdoing, and claimed that the regulatory service was a very unprofessional and a very selfish organization.
I don’t know anything about security requirements/regulations in Canada,though.
作者：not_a_CTA 在 海归商务 发贴, 来自【海归网】 http://www.haiguinet.com
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 骗子唐炜臻 -- Eric99 - (2036 Byte) 2009-3-12 周四, 05:24 (4987 reads)
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