shareholder?s meeting; for instance, proper characteristics of directors, dividend paid from loan and suspicious transactions. While company with good governance adds shareholder value, stronger roles of
client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading
order form (Form F8) despite the fact that those trading orders were made via mobile phone. Use of Form F8 therefore was inappropriate submission of trading orders because such Form must be used in
Capital Nomura Securities PLC., a number of securities trading orders from an account of {A}'s client had no supporting evidence for a period of time. {A} admitted to Capital Nomura Securities PLC., that he
a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the
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Securities Plc., {C} of KT ZMICO Securities Co., Ltd., {D} and {E} of GT Wealth Management Co., Ltd., effective from October 12, 2012 and (2) publicly disclosed investment consultant {F}'s inappropriate