prohibited characteristics of the similar case in the past; (d) the intention to violate or failure to comply with the relevant law, rules or related regulations; (e) other posterior behaviors such as giving
the part relating to his or her responsibility, incorrect and incomplete information and functioning of the computer system, failure to achieve information or utilise computer system consistently or in
process organized by the Office shall have the following characteristics: (1) The dispute arising from the respondent’s failure to comply with the contract, the Securities and Exchange Act, the Provident
consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset , (3) use of the client's trading account to trade
investment consultants consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset , (3) use of the client's
stocks in a manner that manipulated the prices of FVC storks during the aforesaid periods. This constituted dishonest performance of his duties and failure to protect the interests of the clients