profits from the order.   SEC views that {A}’s act did not comply with the investor’s order and was deemed failure to perform duties with responsibility and deliberation as a professional**. SEC has

failure to perform duties or give services with loyalty, responsibility and deliberation as a professional in contravention to the Notification of the Capital Market Supervisory Board.* SEC has therefore

. They must render services and perform duties honestly in compliance with professional standards and codes of conduct. On the other end, investors themselves must strictly abide by trading regulations

seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause

duty with responsibility and deliberation as a professional. Her misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended her approval as

and deliberation as a professional. His misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended his approval as securities investment

is deemed performing duties dishonestly in contravention of Clause 11(1) and (2) of the SEC Office Notification No. SorKhor 15/2548 Re: Approval of Investor Contacts and Standards of Professional

Phuvanatnaranubala said: ?Now is the time for adjustment. Business merger, strategic planning, product innovation and improvement of professional conduct are some approaches securities companies can employ to make

the SEA?s Section 241, securities trading of the former GPF head in advance of the fund by using information about the fund?s pending orders (front running) is a breach of professional ethics for taking

her employer bank a report on her severe professional misconduct which was considered dishonest and unethical behavior in violation of Clauses 3(10) and (12) of the Notification of the Capital Market