violation of Section 243 (2) and liable to the penalties under Section 296 of the Securities and Exchange Act of 1992, i.e., imprisonment for a term not exceeding two years or a fine not exceeding twice the
normal market condition became affected during 9 January - 28 February 2013.Such offences were in violation of Section 243 of the Securities and Exchange Act of 1992 (SEA) in conjunction with Section 83
the charge of defrauding the public which is a violation of Section 343 of the Penal Code.In case of Tyler Terrel Wasser and Patrick De Souza, the public prosecutor issued a prosecution order; however
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
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
} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duties of Analyzing
the clients. They cannot make securities trading decisions on behalf of clients, regardless of the client's permission. In this regard, the aforesaid {A}'s actions are in violation of Clause 20(2) of
client's account without the client's order and failing to perform in accordance with the client's order were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the
trading values and volumes to be inconsistency with normal market condition to mislead and lure the general public into such trading and were therefore in violation of Section 243(2) of the Securities and
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and