matching orders or arranging for counter parties, or by way of providing a trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a
Premsinee or Wimonphak), and Boon together with other 4 persons colluded or agreed to trade TYM shares continuously through 9 securities trading accounts. They traded TYM shares in the manner that concealing
caused TYM share price inconsistent with normal market conditions to mislead the general public about TYM trading values and volumes and lure the general public to trade such shares.Their actions were
manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
account to trade securities for one's own benefits; and (4) facilitating a person to open a securities trading account in the name of other persons to trade securities for the benefit of such person were
company. {E} also misled investors into believing that she was a representative or marketing officer for such foreign company. Using clients accounts to trade securities for other persons or sending trading
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
securities trading account to trade securities for others and accepting authorization to make securities trading decision on behalf of client, in violation of Clause 20(1) and (2) of the Notification of
investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being
to set-off against losses resulting from her trading decision made on behalf of the client. She then falsely informed her client that the money obtained from selling the securities was transferred to