condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was
a company in a client’s trading account by asking the client to sell the shares and transfer the redemption money into her own deposit account. She claimed that she would use the money to invest in
Limited, the SEC further probed into the case and found that {A} persuaded the client to open the securities trading account and traded securities on behalf of such client. It was found that {A} determined
money for Porameth to buy and hold ABC shares for Sathit. Later, the trading account of Sorod was used to buy the shares to inflate the share price while Porameth sold big lots of the shares to Sathit
or sale volume of those cryptocurrencies. In this regard, the Market Maker had reported trading activities in its account to Satang for Satnag’s acknowledgement. Satang’s offence was resulted from
account where trading had been made in relatively high frequency and volume without any record of client's trade order for three months from the opening of the account to the investigation date. In this
Trading Account and Acting as the Derivatives Broker --------------------------------------- Clause 16. 11 In acting as derivatives broker, derivatives broker shall enter into a written contract with the
the first available opportunity; (4) in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary, such information shall be revised and updated completely
. Division 2 Opening of the Derivatives Trading Account and Acting as the Derivatives Broker --------------------------------------- Clause 16. In acting as derivatives broker, derivatives broker shall enter