found that {A} had been authorized by his client to make securities trading decisions on the client's behalf with high trading volume. The communication record showed that {A} traded the securities and
Conduct dated 14 October 2009. Kruawan had traded securities through her client?s account every business day. Her trading manner with high frequency and trading volume, when compared to the client?s credit
a manner that misled the public about the price or trading volume of the securities. They placed orders continuously with the intention to cause the price or trading volume to be inconsistent with
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
information for other persons to do the same; 1.3 Market Manipulation, divided into two types, namely (i) executing trading orders to mislead other persons about the price or trading volume of securities, and
result, the price and trading volume of PICO’s shares were not in a normal market condition, and investors in general were misled to understand that a large number of investors were interested in buying