manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
approval on behalf of the company, had collusively sought unlawful gain causing damage to BLISS. They decided or proceeded for BLISS?s assets to invest in share warrants of C.I.Group Public Company Limited
past decade, however, the SEC decided to revise the criteria for the Turnover List preparation. This is to serve as a precaution for risk management and investment in securities with high turnover ratio
obtained unlawful gains for themselves or another person which caused damage to GSC or others obtained benefit. In this regard, they jointly decided, approved, or ordered GSC to grant 7 loans to Asia Capital
has decided that intermediaries shall comply with the rules and conditions issued by the AMLO instead; however, intermediaries shall have an efficient risk management system adequate for the prevention
begun, {A} could not execute the ATO order in time and decided to execute the order at the market price (MP) instead without notifying the client in advance. As a result, the client received less
in fact the company had already been listed and its shares were being on Suspension Trading (SP) sign. Moreover, he failed to give relevant documents to the client before the client decided to invest
Section 86 of the Criminal Code. The Civil Sanction Committee decided to impose civil sanction on both offenders, who subsequently made a statement of consent to the civil sanction and fully complied