trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities
processing and confirming the redemption orders in violation of the tax terms; (2) In the case of {B}, she was found to sign the redemption orders without double-checking the correctness of
orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such
clients showed trading transactions made on a continual basis and in high volume but the source of orders was not found. Besides, {A} persuaded the clients to trade securities where he was the one
executed trading orders through the aforesaid trading accounts. {A} had denied all the accusations without adduced counter evidences. Later, she agreed to enter the settlement procedure and made the fine
personnel for 10 years. (2) {B} , an investor contact of KTB Securities Co., Ltd., aided other persons in sending trading orders of TRAF shares in a manipulative manner. She was fined for her assistance in
Piyapach, a dealer, possessed inside information related to trading orders of securities of fund and disclosed such information to Mr. Wisut, in which, Mr. Wisut placed trading orders of securities before
. Miss Piyapach, a dealer, possessed inside information related to trading orders of securities of fund and disclosed such information to Mr. Wisut, in which, Mr. Wisut placed trading orders of securities
")'s shares by placing trading orders or trading ECF's shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and