benefits from investors by abusing their duty performance no matter with or without clients? consent, and must not ask for or accept any special benefit other than what is properly earned from the securities
. Proceeds in the trading account belonged to {A}.Exploiting client's account for trading derivatives for one own benefit is deemed in violation of Clause 20(1) of the Notification of the Capital Market
actions.________________________ Remark: * SEC News No. 86/2023 released on 29 May 2023 with the headline, “SEC imposes civil sanctions on six offenders for disclosing and exploiting
exploiting client?s assets for personal interest. Following Thanachart's report, the SEC probed into the case and found that {A} traded high volume of securities in the client's account without permission for
regulatory regime, and (4) exploiting the benefits from the growth of emerging Asia, with the objectives for the Thai capital market to serve the needs of all types of fund seekers and investors, facilitate
benefits for himself and the others and exploiting client assets, is deemed failure to perform duties or provide services with loyalty, which are considered prohibited characteristics of capital market
seminar-061265-03.pdf 1 SEC Classification : ใชภ้ายใน (Internal) Corporate culture and board gender diversity: Evidence from textual analysis Abstract Exploiting a distinctive measure of corporate culture
a reasonable and necessary ground and that such securities trading is without the intention to seek benefits in the manner of exploiting the clients, or shall be able to demonstrate that there is a