admitted that the client allowed him to sell the securities in cases of making profit or potential loss. From his conversation with the client recorded, he traded securities for the client several times a
offenders and informed the proceedings of both cases to relevant agencies for further consideration of enforcement under relevant laws.The SEC strongly urges investors to exercise discretion especially with
of product. Completion of suitability test will be exempted in cases of (1) sale of non-complex product to institutional investor, (2) sale of complex product to institutional investor or sale of any
and deliberation as a professional, and {B}'s was a failure to perform duties or provide services honestly. Both cases were in contravention of the Notification of the Capital Market Supervisory Board
(employee?s choice) in cases where the fund member chooses to invest less than 50 percent of his or her PVD?s proceeds in the fund with low risk investment (low risk investment policy refers to a policy to
therefore barred {A} from performing any management position of securities company and suspended his securities investment analyst approval status for one month. In cases of the other securities investment
, providing that in cases where any issues under laws of foreign jurisdiction are less stringent than Thai laws, there must be an arrangement of investor protection mechanism comparable to Thai laws;- Home
documents and conducted client due diligence in accordance with the law on money laundering suppression and other relevant laws. In cases where shareholders? representatives or proxies are other types of
client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. {A} admitted that the client allowed him to sell the securities in cases of making profit or
system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders