prices were within the range which the client previously expressed interest in. She thought that the shares could be sold to take profit in the similar manner as the client's purchase made in the morning

to ensure that borrowers will be able to repay debts even at times of asset price fluctuation;             ? Company risk: in analyzing a company?s performance, sources of profits should be clearly

{A} for executing their trading orders.{A} later resigned from Globlex to work for KTB where she made trading orders in the derivatives accounts of several clients who had given her their usernames and

client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing

any in accordance with the compromise agreement. {B} (formerly named {C}), the investment consultant for the securities trading account of such client, failed to perform investment consultant?s duties

probed into the case and found conversation in the LINE Application that {A} traded securities for herself through the client's securities trading account. During a certain period of time, she made a

into the case and found conversation in the LINE Application that {A} traded securities for herself through the client?s securities trading account. During a certain period of time, she made a number of

permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on

Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of

instructions from the clients.  They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the actions of {B} and {A} were deemed as obtaining