client gave them the authority to take care of the account. As such, both investment consultants had entered securities trading orders on the client's behalf and then informed the client afterwards. {B

trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain

responsible for the operation of the reporting entity?s orders or action, failure to give instructions or perform their duty, such person may also liable to the penalty under the said Acts.SEC Secretary-General

and submit the key financial ratio of the year 2022 within the period specified by the Notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give

SABUY’s failure to prepare and submit 56-1 One Report of the year 2022 within the period specified by the Notification of the Capital Market Supervisory Board resulted from the instructions or the failure

submit the financial statement for the year 2022 within the period specified by the notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give instructions

submit an Interim Management Discussion and Analysis for the year 2022 (MD&A) within the period specified by the notification of the Capital Market Supervisory Board resulted from the instructions or

from the instructions or the failure to give instructions which is a duty required to be performed. SEC Act S.300 in conjunction with 56(3)(4) Settlement Committee Meeting No. 2/2024 Settlement

;s failure to prepare and submit the financial statement for the year 2022 within the period specified by the notification of the Capital Market Supervisory Board resulted from the instructions or the

Capital Market Supervisory Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. SEC Act S.300 in conjunction with 56(3)(4) Settlement