into the case and found conversation in the LINE Application that {A} traded securities for herself through the client?s securities trading account. During a certain period of time, she made a number of
study on asset allocation for retirement savings in a group of working age investors. The allocation was made among common stocks, bonds, bank deposit and gold in appropriate mix adjustable through life
}, GSTEL executive and (4) {D}, GJS director and executive. The SEC found that in early 2008, GSTEL and GJS, its subsidiary, made advance purchase orders of a large amount of steel from overseas suppliers at
making written authorization. Later, such client made the written authorization allowing her brother to submit trading orders on her behalf. Failure to keep complete record of trading orders and failure to
for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and
, with the objectives to ensure that assistance on portfolio advisory and program trading is made available for investors, while the business operators may enhance the effectiveness of the service
proportion without issuing a TSR to any shareholders that would cause listed companies to have a duty under any foreign law, as approved by a shareholders meeting. SEC has made the public hearing document
, no one had made any investment following the solicitation by such scheme.In the case of Lederer (Thailand) and its authorized director Kanyakorn, investors were persuaded to make an investment at the
to the punishments under the said provisions in conjunction with Section 86 of the Criminal Code. The Civil Sanction Committee decided to impose civil sanction on both offenders, who subsequently made
must be made to the operations system, the accounting system, the database, and the internal control system. Training on accounting knowledge must be provided from the origin, in order to accommodate