obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments
derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments representing entitlement
Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and
jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which
failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which caused