advisors as well as knowledge enhancement of securities firms and investor contacts regarding product features and clients? risk profiles. Meanwhile, the SEC is promoting investor education to help investors
in Capital Market Industry dated September 15, 2010. The SEC therefore revealed his inappropriate behavior for failing to keep records of investment advice and clients' trade order instructions. In
derivatives and securities trade order instructions, respectively. Obtaining authorization to make securities trading decisions on behalf of the client and failing to keep records of clients? derivatives or
of FOCUS shares by using trading accounts of his clients to execute trading orders and manipulate the price of FOCUS shares and subsequently helped with the transferring of money gained from such
group behaviors of these persons demonstrated their dishonest tendency right from the beginning of their professional career, and thus threatened potential misconduct to clients in the future. As a result
quarter of 2016 to the third quarter of 2017 of seven listed company clients by taking advantage of Mr. Warot’s authorized access to the draft financial statements in the EY information system and the
) Enhancing clarity in the management of conflicts of interest (COI) by establishing clearer guidelines on transactions between funds or between clients under the same management (cross trade), in line with
Notification on Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries, dated 9 February 2026.
information Symbols or statements shall be specified at the top of the first page of the factsheet in the following cases: 17.1 In case of a mutual fund with high risks or complexity in accordance with the