). With the referral from the Stock Exchange of Thailand on irregular trading of UNIQ shares as a result of trading orders sent via two overseas omnibus accounts causing the changes of UNIQ share price and
2007 to August 2010, she had traded securities through the client's account as she realized that the client did not check his trading records. In case of losses or making payment for purchase, she will
market conditions. The evidence showed that Sagha?s continuous trading activities in concealment had misled and lured the public to trade FOCUS, IFEC and RCI shares, and that trading orders were matched
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