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
authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer
: ...................................................... (…………………………………………….) Authorized person Date: ......................................... Remarks: 1. In case of authorization for submission of documents, a power of attorney is required. 2. In case of a juristic person, the
debts of the special purpose juristic person or any place where data is collected or processed pursuant to an authorization of such person or any place where documents, evidence or property of the special
person or any place where data is collected or processed pursuant to an authorization of such person or any place where documents, evidence or property of the special purpose juristic person are stored
return, however, the highest return was shown in case of foreign investors while the lowest was the case of retail investors, when measured by investor category. This was caused by the limitation in
auditors were unable to express opinions due to limitation on scope of audit imposed by the companies? managements. AIE and AI must submit to the SEC and publicly disclose the rectified and audited 2014
considered such report.Previously, the SEC had notified AIE and AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the
considered such report.Previously, the SEC had notified AIE and AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the
the Notification of the Office of Securities and Exchange Commission No. SorJor. 31/2563 dated 27 March 2020. It shall, also, clearly disclose the events that cause obstacles or limitation to its