’ 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
social media platforms and promoted the "Lifelong Investing for the 50+" campaign, a financial and investment education program for those approaching or in retirement. The briefing took place on 8 November
The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department, in collaboration with the Fiscal Policy Office (FPO), the Deposit Protection Agency (DPA), and
financial and investment education other than offering investment products, reflecting their contributions to society. The initiative encouraged businesses in the capital market to collaborate on designing
The Securities and Exchange Commission (SEC), represented by the Capital Market Education Department and SEC Ambassadors, provided financial literacy lectures to 1,449 freshmen at Kasetsart