duties with honesty by disguising that trading decisions were made by client; and seeking benefits during performance of duties. Following the complaint lodged by client of KT ZIMICO Securities Company
operators. The revised regulations require the said licensees appoint independent directors to perform their duties with honesty and trustworthiness for customer interest and thus aim to ensure efficient
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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
honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company
13. In perform of duties as a derivatives broker for customer, derivatives broker shall (1) Perform duties with integrity and honesty, consider and maintain the best interest of the customer. (2) Treat
information to customer. Clause 13. In perform of duties as a derivatives broker for customer, derivatives broker shall (1) Perform duties with integrity and honesty, consider and maintain the best interest of
Regulation SHARE : Detail Content -Unofficial translation- Ministerial Regulation Concerning Approval on Undertaking of Securities Business in the Category of Venture Capital Management B.E. 2545 By
performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended