continuous trading activities. Examples include sending trading orders in a manner that pushed prices upward, placing bid offers at multiple price levels in a way that obstructed and pressured other investors
three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives
shares through accounts of Somchai and another client by splitting the orders.The acts of {B} were deemed as using client securities trading accounts to trade securities for others and sending
bondholder register to determine the list of the meeting attendees and the timeframe for sending the invitation to the bondholders’ meeting; Agenda 2: Consideration for approving a waiver of
because the highest price on that day was lower and was decreasing during the submission of selling order. She also admitted sending the trading orders without her client's order from January 9, 2014 to