Kasikorn Securities Plc., the SEC probed into {A}'s case and found certain communication record, which he later admitted, indicating that he had been authorized by his client to make securities trading
comparison indicating maximum, minimum and average returns among mutual funds in the same category and will thus serve as useful information for making investment decision. The proposed rules classify mutual
indicating that {A} sent trading orders and afterwards informed his client's authorized person. Such authorized person did not reject the transactions. From the record, in addition, {A} specified details of
regulator; (4) no any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is facing financial difficulty. In addition, there
any fact indicating that the applicant has financial difficulty that may cause any damage or other incidents indicating that such applicant is facing financial difficulty. In addition, there is no any
Change (Please specify all information on change of first name / last name since becoming sui juris and attach documents indicating such change) 1.2 Type of Card [ ] Identification Card [ ] Passport (only
on MILL?s 2012 financial statements due to significant matter indicating that such transaction may not be considered conducting in a normal course of business. For the abdication of the right to
that the applicant had transferred all shares of such company to a third party despite various factors indicating that the transaction may not exist. This would lead to incorrect and incomplete
her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November