which {A} failed to prove that the orders were sent according to the client's instruction.The {B} case was also submitted by his employer. The SEC then probed into the case and found from conversation
} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation
filed by KKTRADE Securities Company Limited Ltd. The SEC probed into the case and found that {A} submitted securities trading orders from her brother's securities trading account. Over 11 months, the
client during the performance of duties. From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that {A} submitted securities trading orders before notifying a
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
/201712/17101199.pdf 6611pe.doc trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market
LIMITED SEC orders AIE and AI to cooperate with their auditors Form 56-1 : Annual Registration Statements ( 3 record(s) found) Name Year Receive Date Details 2S METAL PUBLIC COMPANY LIMITED 2023 25/03/2024
. Their financial and stock transactions were interconnected, while Mr. Suthee was also authorized to place trade orders in Mr. Peeranut’s securities trading account. During the incident period, Mr. Suthee
? former investor contact, {B}, had sent trading orders through the client's account without record and evidence of trading orders. His misconduct caused damage to the client and the firm dismissed him from