the group of persons above in opening trading accounts for investors to make derivatives investments. They executed trading orders in investors’ accounts, told investors to send trading orders

According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1

According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012,  executed securities trading orders for the client who acknowledged

each type of capital market products and investment proportion. Trading orders will be executed according to the selected portfolio advisory and will be monitored and rebalanced to maintain its

investigation, during 13 November 2015 - 12 January 2016, Prasert, Poramaporn and Narumon executed trading transactions of BA shares in group and on a continuing basis, and matched trading orders among themselves

redemption order was executed in breach of the terms and conditions of the tax benefits. As a result, the customer had to return the tax deduction money to the Revenue Department and pay for the capital gain

made falsifying document deceiving this clients that the orders had been executed and claimed that the Automated Trading System (ATS) faced problems. He also deceived his clients to withdraw their

processed. Instead, he falsified documents to deceive the clients that their orders had been executed.  He also deceived the clients that the Automated Trading System (ATS) failed to function and thus asked

by the client to take care of the trading account and inform the client after the trades were executed. Meanwhile, {A}, a head of the marketing team, admitted that he was informed by {B} that the

information from the client or the officer who executed the selling transaction for the client. Signing the buy/sell order form of investment units without contacting and giving advices was failing to perform