complete supplementary documents. The SEC therefore submitted to the DSI a letter giving information and asking for any information that could indicate otherwise. In this regard, the SEC has also asked the
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transactions she executed herself without the client’s permission. In addition, in May and November 2017 and August 2018, {A} asked the client to affix signature on the confirmation of backdated trading
their trading decisions without objection or asking for any information of those securities. In addition, it was found that a client of Onjira asked her to make trading decision on his behalf while Wasana