clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the
and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in
materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of
Vanatsavadee failed to perform duties or give services honestly. In addition, there was a reason to believe that she had failed to perform duties or provide services properly* and concealed wrongful acts while
, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana
investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the
Transactions. In this regard, the Board of Directors’ meeting No. 7/2019 held on May, 16 2019 has authorized the Executive Committee or Chief Executive Officer the authority to perform any actions in relation to
, the Board of Directors’ meeting No. 7/2019 held on May, 16 2019 has authorized the Executive Committee or Chief Executive Officer the authority to perform any actions in relation to the disposal of
funds’ stock holdings can provide useful signal for investors. In this study, we show that portfolio of stocks that are not favored by mutual funds tend to perform poorly, with monthly returns of 0.38% to
among investors to cause excessive trading and Kyle and Wang (1997) show why this overconfidence may persist over long periods of time. Linking these two ideas could also explain why so many studies have