without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own
execution program. She also transferred her own money into the client’s trading account as a collateral for trading loss. Meanwhile, the client did not contradict or object to the record of confirmed
client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own
Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such
the matter carefully and exercise the voting right to protect own interest. They should also request NBC’s executives to clarify and answer questions in order to gather comprehensive information
related information thoroughly and inquire GJS executives for further details and clarification in order to make a well-informed decision and exercise the voting right to protect their own interest
cryptocurrencies or digital tokens are service providers for trading and exchanging digital assets on their own behalf.
derivatives broker has advanced its own asset to secure or satisfy the obligations incurred incidental to, or resulted from, a derivatives transaction for the account of a customer, the derivatives broker
our top executives including study tours and company visits so as to motivate them to work with us in the future or even look for their own business opportunities.?
sold SUPER shares in his own and other persons? trading accounts to gain personal benefits.Securities trading based on non-public information that is material to the change in securities price is deemed