seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
The Securities and Exchange Commission (SEC) organized a dynamic training program to enhance essential knowledge and investment insights for financial trainers. SEC Secretary-General Pornanong
joined and assigned their executives and representatives to attend financial literacy training courses. The trainees then become the trainers working on knowledge transfer, activities or clinic within
later entirely cancelled. His intention in placing selling orders was to test the market, without intention to execute transactions, in such a way that misleads other persons regarding the price or
service risk; (2) To revise the criteria for suspending digital asset business operations by requiring businesses that fail to maintain the capital to submit a rectification plan to the SEC and execute the
begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less
digital asset business operators. Essentially, the proposed amendment would allow digital asset fund managers to apply for a quota to execute foreign exchange transactions with financial institutions in
agreement to execute the transaction. After approval by the Company’s Board of Directors, with retroactive effect from 1 April 2017 until 11 May 2020. 2. Party and relationship. The Provincial Waterworks
order to execute enforcement and may also file a criminal complaint with the inquiry official for further criminal proceedings in case of refusal to pay a civil penalty. In any case, more severe