traded in great volume or that such share price was changed, causing the trading of such shares to be inconsistent with the normal market condition to lure the public into the trading; and (2) From
make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading
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from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
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
investment unit of an ETF fund in an organized market to proximately reflect the value of such investment unit which is calculated from the net asset value of the fund by trading https://publish.sec.or.th/nrs
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