reference. Notification of the Office of the Securities and Exchange Commission No. SorThor. 32/2548 Re. Customer Complaint Proceedings of Licensed Derivatives Brokers _________________ By virtue of Clause 27
., for one-year eleven months and fourteen days. The period was set on the grounds of trading securities in the client?s account without permission, taking advantage of client by virtue of duty and
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
derivatives on behalf of a client for over 3 years and he admitted to the misconduct.For {E}, the case was lodged by client of Globlex Securities Co., Ltd. indicating that {E} had made unauthorized derivatives
Statement for Futures Trading. Date……………………….. The …………...…………………….. company, a derivatives broker, hereby certifies that Mr./Mrs./Miss…………………………. who works for the company has explained to the customer, Mr
for Futures Trading. Date……………………….. The …………...…………………….. company, a derivatives broker, hereby certifies that Mr./Mrs./Miss…………………………. who works for the company has explained to the customer, Mr./Mrs
explained to the customer, Mr./Mrs./Miss/Entity ……………………….. of the risk involved in futures trading before opening an account or operating the derivatives business for the customer on the following matters: 1
interesting growth direction of business. In the 1 st quarter of 2017, the Company enabled to sell the beverage dispenser (Celli counter beverage dispenser) to a client in CLMV. The Company also organized the
follows: (1) During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She