act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the
Unyakowit), who was then an IEC executive. Any person named in a criminal complaint filed by the SEC Office and under legal proceedings due to dishonest management of assets is deemed lacking trustworthy
trading decisions on behalf of the clients, regardless of the client's permission or authorization. In this regard, {A}'s action was deemed as obtaining authorization from clients to make securities trading
clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the
Securities and Exchange Commission No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By
No. KorKhor.11/2547 Re: Characteristics of Advice Which Are Not Deemed as Undertaking Derivatives Business in the Category of Derivatives Advisory Services _____________ By virtue of Section 3 and
Commission No. KorNor. 24/2553 Re: Units of Foreign ETF deemed as Securities not Subject to Provisions on Public Offering of Securities By virtue of Section 14 of the Securities and Exchange Act B.E. 2535 as
, and whereas Clause 4 of the Notification of the Securities and Exchange Commission No.KorNor 24/2553 Re: Units of Foreign ETF Deemed as Securities Not Subject to Provisions on Public offering of
the date of the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: (1) proceed to solve the problem described in the complaint rapidly