, and seek clarification from NEWS management in order to make well-informed decisions. In addition, due to the current COVID-19 pandemic, SEC encourages the shareholders to consider proxy voting by
February 26, 2014, reasoning that she intended to take profit for the client by selling out when the price increased and buying back when the price declined. Making trading decisions of securities in the
securities trading decisions on behalf of client was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended Atthapol from
securities for the client's account. Besides, communication records between {A} and his client showed his promise to payback. Making trading decisions on securities in the client's account without the client's
and the share price changed quickly. Nevertheless, under the current criteria, posting the trading alert sign to warn investors to make investment decisions carefully is not required in this case. SEC
investment. The SEC thus encourages capital market business personnel, especially investment consultants, investment analysts and personnel who provide services of making decisions on investment for investors
decisions for clients, (2) Receiving compensations, either directly or indirectly, and (3) Operating such businesses regularly or giving services to the general public. Pursuant to Section 66 of the
all requirements on information disclosure and submission of reports under relevant regulations. On investor side, sufficient information for their investment decisions will be provided as the Filing of
and disseminated false statements, which caused an impact on the GL securities price and investors’ investment decisions. Such information also contradicted the information GL had disclosed through the
accommodate fluctuations; and supported for development of professional standards. Investors Accessing to information and making investment decisions with confidence; being treated fairly in securities trading