Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the

interim financial statements to the SEC by 15 September 2025. CHARAN was also required to disclose these financial statements to the public via SETLink within the same deadline. The instruction was issued

appoint new directors to fill vacancies while serving as IFEC director and chief executive officer. In addition, the SEC investigation found that Mr. A disobeyed the board of directors’ instruction and

’ instruction and refused to facilitate a meeting venue for the board of directors’ meeting. Such misconduct was therefore deemed as the failure to perform his duties as a listed-company director and executive

manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions

her client regularly as well as reported to her client on the summary of profit and loss on a monthly basis. On March 12, 2012, {A} made trading decisions without the client's instruction and payment

such as games, counseling service, survey and instruction on Mobile App ?start-to-invest?. Those who download Mobile App ?start-to-invest? and show up at the booth will also be given a souvenir. The SEC

trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain

, could pose risk to the client. She also disregarded her client?s instruction and continued her improper actions. The SEC, therefore, suspends Kruawan from the status of approved investor contact for one

Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of