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materially high volume. {A}'s conducts were deemed trading securities on behalf of the client using his own decision, which was an interference with client's assets and non-compliance with standards of conduct
the meeting should give proxy to others and clearly state their own decision on each agenda item in the proxy form to protect their own?s interest. -------------------------------
board of directors and executives. For those who cannot attend the meeting should give proxy to others and clearly state their own decision on each agenda item in the proxy form to protect their own?s
of directors and executives. For those who cannot attend the meeting should give proxy to others and clearly state their own decision on each agenda item in the proxy form to protect their own?s
others and clearly state their own decision on each agenda item in the proxy form to protect their own?s interest
specified by the client. He then made payment to such client for his own securities trading.The aforesaid acts of {A} and {B} were deemed dishonest and unprofessional in violation of Clauses 20(1) and 20(2
own address and to submit capital reduction order for the client?s private fund. With the capital reduction payment, Thanjira bought investment units for the second client and Surasak. Moreover, she
account for Sippakorn to send trading orders, facilitated respective payments for the provided account, and used such client's account for his own securities trading. Furthermore, he ordered a subordinate
other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification