}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with
which {A} failed to prove that the orders were sent according to the client's instruction.The {B} case was also submitted by his employer. The SEC then probed into the case and found from conversation
} proposed his clients the portfolio investment in advance and the clients accepted all transactions proposed. In addition, the recorded conversation showed that {A} specified securities, prices and amount to
}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written authorization letter. From the recorded conversation
phone and Line Application. However, the recorded conversation showed that she accepted to trade securities on behalf of clients.Failure to disclose specific risk of securities and trading securities on
potential loss. From his conversation with the client recorded, he traded securities for the client several times a day and submitted the selling orders at the prices lower than or equal to the purchase
Of Details Data not found Management's Discussion and Analysis ( 3 record(s) found) Date Time Heading Link 08/11/2024 17:29 Management Discussion and Analysis Quarter 3 Ending 30 Sep 2024 03/10/2024 08
Secretary-General, delivers keynote speech on "The Importance of Research in Shaping Capital Market Development Policies"Panel Discussion: “Preparing for the Future: Enhancing Competitiveness and Adaptability
PROPERTY PUBLIC COMPANY LIMITED - - - 2019 31/12/2019 LALIN PROPERTY PUBLIC COMPANY LIMITED - - - 2018 31/12/2018 Management's Discussion and Analysis ( 6 record(s) found) Date Time Heading Link 15/08/2024