their shares and some have issued voting policies and disclose their voting, as required by SEC regulations for asset managers. They occasionally vote against management. Companies produce complete

} did not confirm the exact securities volumes and prices with his client. In addition, he sometimes sent trading orders and informed the client afterwards that the client has never objected or rejected

already submitted where a number of transactions had no details of either amount or price of securities. From the record, in addition, the client sometimes allowed him to make trading decision and the

informed of derivatives price ranges in advance and when the prices moved within the ranges, {A} then executed trading orders.  She sometimes sent trading orders and informed the client afterwards. {A

without client authorization. 4. Guntasit Montarat (one-year probation) ? being authorized by his client to buy and sell securities for them and occasionally making decisions without their

shares and some have issued voting policies and disclose their voting, as required by SEC regulations for asset managers. They occasionally vote against management. Companies produce complete https

where they asked for fees or benefits in return. Sometimes, they tried to convince the public that their services were legal and needed no permission from the SEC. Therefore, the SEC urges everyone to be

related persons. Monitoring acitivities of invested companies is also a must as sometimes regulators are not legally authorized to issue an order in certain matters.Disclosure of sufficient information is

. Regulatory institutions have also developed although sometimes their capac- ity to enforce has been limited. The rules and regulations must now be matched by advances in their implementation and enforcement

investment, impact investing, ESG engagement, stewardship, socially responsible investment (SRI) and sustainability investment will imply different activities for different parties. And, confusingly, sometimes