authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer
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
environment, and excellent control in management of invested businesses. The use of the I Code principle is also another qualifying criterion for the most excellent provident fund award.”Criteria include
Bangkok, October 16, 2015 ? The SEC will pay a closer attention to investors? behaviors and factors influencing their decision making as more studies show rationality is not the only criterion for