trading orders. In this regard, {A} and {B} actions were deemed the violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of
machinery for plastic waste fuel refinery project. The said persons were {A}, {B} and {C}, ex-directors and executives of PRO, and {D}, Managing Director of Therm Engineering Co., Ltd. Their actions were in
investors? awareness in helping monitor our capital market and facilitate legal actions against any persons taking advantages of others. Key criteria of the regulations include methods for giving information
? futures trading orders through an account linked to him at another broker for his personal gain. This caused financial damages to his clients. His actions were in violation of Sections 145(3) and (4) of
through the use of client accounts; while {D} was found using a client account to trade securities for her own benefits. In particular, their actions had been aided and abetted by {E} , who then was the
outstanding balance in the derivatives account. In this regard, the aforesaid {A}'s actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re
strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume
clients. In this regard, the aforesaid actions are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business