client's damage. {A}'s misconduct was a failure to provide material information or warning statements to prevent investors? benefits from being compromised. He also failed to abide by professional ethics of

trigger for a mandatory tender offer of the total NMG shares sold. In so doing, they failed to report their acquisitions, and did not make the tender offer for NMG takeover.As a result, their actions were

suspended {A} from duty as an approved capital market investment consultant for a period of one year.In case of {B}, the SEC received a report from a securities company that she failed to record her two

, attempts to arrest the offender have failed and the statute of limitations has run out.

orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such

inspection that {A}, a capital market investment consultant of Phillip Securities, failed to record his clients? securities and derivatives trading orders. {B}, a capital market investment consultant, and {C

that he notified his clients of trading orders at night and failed to keep records of all clients' trading orders. Conversations between {A} and the clients found on the records also indicated the

not lose the money if making investment decision on the advice. Furthermore, {A} failed to immediately submit orders to close out derivatives positions as directed by the client, causing the client to

Mr. Donald Ian Mcbain Mr. Donald Ian Mcbain, as a director responsible for the operation of K-TECH Construction Public Company Limited (KTECH), failed to supervise KTECH to prepare and submit the

. Chan failed to report the disposal of BIG shares on March 8, 2016, within the period specified in the notification of the Capital Market Supervisory Board which is in the amount of 49,724,400 shares