of Section 246 resulted from failure to file the reports for nine transactions. Accordingly, a four-month imprisonment was imposed on each offence totaling 36-month imprisonment which was then reduced

futures trading agents. They advertised and solicited investing public to open gold futures trading account and make the trading transactions through website www.fortunebullion.com without obtaining license

Bee filed a cancellation notice to his broker, Globlex Securities Co., Ltd., in order to void the purchase transactions has no effect on the Sub-Committee?s opinion as well because the purchases of EIC

entering into complex financial products or transactions whereby associated risks and return must also be studied. Moreover, assessment in the aspect of appropriateness to investment policy and investment

the transactions and permitted {A} to continue trading in attempt to recover loss incurred in the trading account.In performing their duties, investment consultants can send trading orders only when

thus unable to gather sufficient evidence for such transactions.  In this regard, the SEC required AIE clarify the issues to the SEC and publicly disclose the information by May 12, 2015.In addition, AIE

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

make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading

1-22, 2010. She had submitted trading reports via electronic channels and mobile phone to the client who accepted the transactions. Such trading had resulted in a 73,400 baht loss for which {D} paid

innovations in domestic and foreign markets; (3)  Corporate finance & products: Rules, regulations and procedures governing issuance and public offering of financial instruments and related transactions;(4