trading orders via the phone with call recorder. Making securities trading decisions on behalf of client and failing to completely record client's securities trading orders were in violation of the Clauses
considered that she had already been suspended by her employer no less than the said period, the suspension imposed by the SEC is deemed to have been served.* Clauses 20(1) and (2) of the Notification of
November 8, 2014. *Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2012 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and
chemical products. Clause 23. To act as broker, agent or commission agent in trading of chemical products both domestic and foreign markets. To comply with the amendment of Company's objects from 20 Clauses
to perform the duties under Clause 23(1), subject to the prohibited characteristics of the personnel in the capital market business under Clauses 31(3) of the Notification of the Capital Market
specified by the client. He then made payment to such client for his own securities trading.The aforesaid acts of {A} and {B} were deemed dishonest and unprofessional in violation of Clauses 20(1) and 20(2
. Clause 23. To act as broker, agent or commission agent in trading of chemical products both domestic and foreign markets. To comply with the amendment of Company's objects from 20 Clauses to 23 Clauses
. _____________________________ Remarks: * Clause 23(1) refers to the prohibited characteristics of the personnel in the capital market business under Clauses 31(1) and 31(3) of the Notification of the Capital Market
of Clauses 20(2) and 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and
market personnel for the period of one year. ----------------*Their actions were in violation of Clauses 20(1) and 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555