which {A} failed to prove that the orders were sent according to the client's instruction.The {B} case was also submitted by his employer. The SEC then probed into the case and found from conversation
showed that a number of clients' securities trading orders were not completely recorded. For {C}, the first investigation revealed that she failed to completely record her advice and a client's securities
persons securities trading accounts. The said four accomplices were Porntep Thawornwisuthikul, Arada Lertpinyopap, Naruephol Chatchalermvit and an unknown person previously named in the SEC's criminal
failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory
orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading
seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause
purchase or sell MILL shares, which led to a trading condition of MILL shares was not consistent with the normal market conditions. In addition, there were other 5 individuals, namely: Miss Pornwadee
higher prices as manipulated by the group of offenders. Their trading activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher
activities misled general investors into believing that new investors were interested in investing in KIAT shares at gradually higher prices. Meanwhile, the group of offenders, including Nipa and Namthip, who