obtaining the clients? instructions.  They cannot make securities and derivatives trading decisions on behalf of clients, regardless of the client's permission.  In this regard, the aforesaid {A}'s actions

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

clients' securities trading orders. She then admitted that the clients' trading orders had been received via mobile phone and via blackberry messenger. In this regard, the aforesaid actions are in violation

to buy securities for her friend, who was in the process of opening a securities trading account, through assistance of one of her clients. After the trading account was opened, her friend asked for

the borders open, international travel will continue to be strictly monitored and regulated to prevent outside cases of COVID-19 from entering the country. International travel will initially be for

Thailand was decreased by 31.0% YoY due to the COVID-19 pandemic in China since the beginning of the year. This caused a significant decrease in revenue as Chinese tourist was one of the major clients of the

country's economic growth.“As an inquiry official in high-impact cases, the SEC would have the authority to conduct investigations and, upon completing the case file, would submit the case along with our

the determination  of collateral redemption value and introducing additional conditions for cases where the bond issuer exercises the right to redeem or request the return of collateralized and/or

introducing additional conditions for cases where the bond issuer exercises the right to redeem or request the return of collateralized and/or replacement assets. The SEC requires that the bondholders

use their own funds to pay a compensation to the affected mutual funds instead of reducing the number of units. In other cases, the regulations do allow AMCs to compensate using such method. The SEC has