transfer was prearranged, starting from Auracha's opening a trading account for her mother without declaring their relationship to the company and arranging for the transfer even though it was not her duty
. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing
securities company shall have a code of conduct in writing, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system
the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best
Trading (section 98(7)) Other Business Undertaken by Securities Companies (section 98(8)) Advertising (section 98(10)) Acting as Securities Company Agents (section 100) Loans to Customers (section 102
issuing company or securities company for 67 months, while Sirivat is prohibited from trading securities or derivatives for 28 months, and from serving as director or executive of any securities issuing