. Their financial and stock transactions were interconnected, while Mr. Suthee was also authorized to place trade orders in Mr. Peeranut’s securities trading account. During the incident period, Mr. Suthee

? former investor contact, {B}, had sent trading orders through the client's account without record and evidence of trading orders. His misconduct caused damage to the client and the firm dismissed him from

submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A

) through seven securities trading accounts in concealment, on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and volumes, causing

Company Limited (UKEM) through seven securities trading accounts in concealment, on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and

Supervisory Board. This liability arises from her failure to issue orders or perform the duties required to ensure compliance with the specified regulations, resulting in JCT’s delayed submission of the report

operates by matching orders or arranging for the counterparty or providing the system or facilitating a person who wishes to trade or exchange digital assets to be able to enter into an agreement or match

") has provided platform services for trading or exchanging digital assets via its website by matching orders or arranging for the counterparty or providing the system or facilitating a person who

Mr. Anupon Sriard During the period of 25 – 31 August 2015, Mr. Anupon Sriard, as a private fund manager, instructed the securities trading accounts of the clients of the private fund to place orders

Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market