materially inappropriate demeanor affecting clients, investors, the company, shareholders as a whole, money market or capital market on a whole as specified as prohibited characteristic in Group 3 under Clause
Regulations on Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall
improper investments or transactions, an intermediary shall include the following conditions in the agreement with a client for providing services as derivatives agent: (1) the client agrees to notify and
improper investments or transactions, an intermediary shall include the following conditions in the agreement with a client for providing services as derivatives agent: (1) the client agrees to notify and
characteristics; (3) having any improper behavior which, if considered on a reasonable ground, materially affected clients, investors, company or shareholders, or money market or capital market as a whole, in a
misconduct, an inspection report from the bank and the SEC's further investigation have revealed that she solicited an elderly customer to invest in a mutual fund unsuitable for the customer's profile
No. 2/2021 Dated 21/12/2021 Bitkub Online Company Limited Between January 2-21, 2021, Bitkub Online Company Limited ("Bitkub"), a digital asset exchange, provided inappropriate and insufficient systems
/2021 Dated 21/12/2021 Bitkub Online Company Limited Between January 2-21, 2021, Bitkub Online Company Limited ("Bitkub"), a digital asset exchange, provided inappropriate and insufficient systems
/2021 Dated 21/12/2021 Bitkub Online Company Limited Between January 2-21, 2021, Bitkub Online Company Limited ("Bitkub"), a digital asset exchange, provided inappropriate and insufficient systems
determination of cornerstone investor as institutional investor would help to prevent share allocation to investors whose inappropriate trading behaviors may affect public confidence in the capital market