and the management, discussed approaches that the SET could adopt to review rules relating to securities trading in cash account, particularly in placing asset as collateral before purchasing in

such a way as to take advantage of an outsider or disclose such information to be utilized by other persons. Division 2 Opening of the Securities Trading Account and Acting as the Securities Broker

from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his

received large incentive amount; over 90 percent of which was from the account of this client. Trading securities on behalf of client and seeking benefits from the client during the performance of duties

prices in the approximate periods that caused the client to suffer loss, eventually. {A} received large incentive amount; over 90 percent of which was from the account of this client. Trading securities on

Securities Trading Account and Acting as the Securities Broker Clause 15. In this division, “securities company” means a company licensed to undertake securities business in the category of securities

take advantage of an outsider or disclose such information to be utilized by other persons. Division 2 Opening of the Securities Trading Account and Acting as the Securities Broker Clause 15. In this

derivatives trading account in order to continue trading. She later made a summary trading report under the client’s account and sent it to the client for acknowledgement. In so doing, she concealed the trading

contain provisions related to the use of a nominee account or allowing one?s trading account to be used as such in the commission of a market misconduct offense. (2) Civil Penalties: The civil penalty is

the client securities trading account as collateral. In this case, {A} had continuously done day trading of client securities for 25 working days worth approximately 109 million baht, resulting in her