trade securities in the client's account without permission in order to achieve better performance.      {A}'s actions are in violation of Clause 20(1) and 20(2) of the Notification of Capital Market

certain group of persons had their trading orders, on a continual basis, executed through trading accounts of other persons to lure the public to trade such shares as well while in fact the persons who

such information from their positions as CEO and chief finance officer, respectively. The information was about allowance for doubtful account on trade accounts receivable resulting in TUCC operating

inside information to trade CMO shares along with failure to report the changes of his CMO shareholding and launch a tender offer for CMO shares.With the referral from the Stock Exchange of Thailand, the

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

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

her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November

transaction concerning the trade of TOG shares. 21/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a compensation of

transaction concerning the trade of TOG shares. 21/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary