branch managers, and (4) enhance efficiency of investor protection by requiring business operators to ensure office branches appropriately accessible to investors, and inform clients sufficiently in
number of clients? securities trading orders. Such actions were in violation of Clauses 23(1) and 23(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 8/2557 Re: Rules on
advisors as well as knowledge enhancement of securities firms and investor contacts regarding product features and clients? risk profiles. Meanwhile, the SEC is promoting investor education to help investors
in Capital Market Industry dated September 15, 2010. The SEC therefore revealed his inappropriate behavior for failing to keep records of investment advice and clients' trade order instructions. In
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
of FOCUS shares by using trading accounts of his clients to execute trading orders and manipulate the price of FOCUS shares and subsequently helped with the transferring of money gained from such
referring to certain services of the securities firms; for instance personal loan. In such cases, the securities firms were notified that the transferred money was deposited for clients? accounts while the
group behaviors of these persons demonstrated their dishonest tendency right from the beginning of their professional career, and thus threatened potential misconduct to clients in the future. As a result