revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
trading orders once the prices match the target. Obtaining authorization to make derivatives and securities trading decisions on behalf of clients was in violation of the Notifications of Capital Market
orders where the purchase were initially paid by her family's money and later by her own money.Using client's account to trade securities for her own benefits was in violation to the Notifications of
behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved
behalf of client and seeking benefits from the client during the performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
companies from possessing characteristics of an investment company in investments without active involvement in management. This includes investments in securities, derivatives or digital assets at a
securities issuers / listed companies from possessing characteristics of an investment company in investments without active involvement in management. This includes investments in securities, derivatives or
Mai and nearby provinces, with a total of 1,100 students. This marks the first time of such activity, travelling and providing knowledge and experiences, with direct involvement by SEC, in
growing and becoming an important factor for driving the economy and the prosperity of the country due to its direct involvement with customers, business partners, shareholders or creditors, while the