found that on October 3, 2012, {A} {B} and {C} had colluded to trade TPC shares through their own securities trading accounts and the accounts of {D} and {E}. The trading was done in the manner that
securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the
indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries. The acts of {A} and {B
and Mr. Phisudhi in providing securities trading accounts of individuals above mentioned, and also involving in financial transaction concerning the trade of EARTH share and EARTH-W4. 19/08/2021
trade securities for his own benefits through such client?s account. Trading securities on behalf of client, making trading decision without the client?s orders in the client?s securities trading
account to the client every time after the trade date. {B}, however, agreed to make reparations to the client.In performing their duties, investment consultants can send trading orders only when obtaining
trading period to be inconsistent with normal market conditions to mislead other persons that CHUO shares were in high demand at the time and lure them to trade such shares accordingly. His offense was in
, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at higher prices as manipulated by the group of offenders. Their trading