inappropriate and deemed as interfering with client's assets.As both investor contacts' actions are in violation of Clause 14(2) of the Notification of the Office of the Securities and Exchange Commission No

(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment

derivatives trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators

the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated

client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing

. Proceeds in the trading account belonged to {A}.Exploiting client's account for trading derivatives for one own benefit is deemed in violation of Clause 20(1) of the Notification of the Capital Market

F8) not relevant to the method of trading order submission is in violation of Clause 20(1) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel

client of trading orders via telephone at the end of the trading day.Making securities trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market

Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment

information that might adverse affect the client's benefits. Failing to inform sufficient information by concealing material information is, respectively, in violation of Clause 20(2) of the Notification of