, which Sakkarin confirmed that it could be done, but no money from the sale order was deposited into the client's bank account.Sakkarin's aforesaid misconduct was a failure to perform duty honestly by

}'s account. Therefore, it was deemed that {B} had used the trading account of the client to trade securities for himself.The misconduct of {A} and {B} was an exploitation of investors' trading accounts

later earned capital gains from selling the shares within the same month of the year.Chanthani?s two counts of misconduct were in violation of Section 241 and liable to the penalties under Section 296 of

misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of

consultant to do so.    Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset, (3) use of the client's trading account to trade

was no evidence that the client had ordered the responsible investment consultant to do so.    Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct

wrongdoing is detected, the SEC Office will not store such data. 3.2 Data for verification of wrongdoing from the integrated public information and government services database ( https

system which can prevent any misconduct that may cause damage to clients or securities holders and such system shall at least cover the following matters: (a) separation of operational units and

consultant to do so.    Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset , (3) use of the client's trading account to trade

public offering of digital tokens and operating digital asset exchange without license misconduct of MRC - BIZ is liable to offering for sale of digital tokens and operating digital asset exchange without