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partial investment, granting the right of objection on material issues to REIT, having guidelines to resolve conflicts between REIT and investment partners, and providing a statement of opinions on
illustrating making trading decision before client acknowledgement. The client then acknowledged the transactions without any objection and made payment completely. {A}'s actions were deemed using client
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
some clients. All the said clients acknowledged trading transactions without any objection. Besides, Napat received several trading orders from the persons not the owner of the securities trading
without any objection. Meanwhile, in the latter period, he sought approval from the clients on the broad pre-determined price ranges of derivatives and securities. Accordingly, he could immediately execute
trading orders and inform the client of the transactions afterwards. It was found that the client acknowledged the transactions without any objection. The {C} case follows investor complaint and the report
contains the followings: 1. Matters to be informed at the creditors’ meeting 2. Proposal of a person as the rehabilitation planner 3. Objection to the creditors’ votes 4. Selection of the rehabilitation
existing agreement. The agreement has upon contract extension for the duration with the identical term and condition. The 1 year agreement will be automatically extended unless the objection from either side