derivatives and securities trade order instructions, respectively. Obtaining authorization to make securities trading decisions on behalf of the client and failing to keep records of clients? derivatives or

clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the

securities trading account to trade securities for others and accepting authorization to make securities trading decision on behalf of client, in violation of Clause 20(1) and (2) of the Notification of

client's child, as well as sometimes taking orders via mobile phone.{A}'s actions were deemed as obtaining authorization from client to make securities trading decisions on behalf of client; taking

indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries.  The acts of {A} and {B

authorization that {A} had obtained  to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants  can send trading orders only when obtaining instructions from

conversions seemed to set investment framework for {E} to make trading decision and then inform the client afterward. This could be considered as misconduct for obtaining authorization to make derivatives

SMC POWER Public Company Limited SMC POWER Public Company Limited failed to prepare and submit the financial statements for the year 2014, the annual registration statement for the year 2014. (Form

SMC Power Public Company Limited SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit the financial statements for the six-month period ended June 30, 2015 to the

TPC Power Holding Public Company Limited TPC Power Holding Public Company Limited ("TPCH"), a securities issuer, prepared and submitted the key financial ratio for the year 2023 through the