phone and Line Application. However, the recorded conversation showed that she accepted to trade securities on behalf of clients.Failure to disclose specific risk  of securities and trading securities on

potential loss. From his conversation with the client recorded, he traded securities for the client several times a day and submitted the selling orders at the prices lower than or equal to the purchase

behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the

trading transactions had no source of orders. It was also found in the recorded conversation that {A} had been allowed by the client to make securities trading decision. He informed the client of the

SEC found from conversation records that {A} had obtained authorizations to make trading decisions for the clients. {A}'s actions are deemed in violation of Clause 20(2) and (3) of the Notification of

AEONTS: Aeon Thana Sinsap (Thailand) Public Company Limited Management Discussion and Analysis For the Third Quarter and the 9-month period of 2024 ended November 30, 2024 AEON Thana Sinsap (Thailand

made securities trading decisions on the clients? behalf. The recorded conversation indicated that Ashiya and Onjira specified securities, amount and price for their clients and the clients accepted

conversation indicated that {A} and {B} specified securities, amount and price for their clients and the clients accepted their trading decisions without objection or asking for any information of those

, and causing a misunderstanding that there had been a conversation with, and acceptance of trading orders from, the account owner. Meanwhile, {C} took trading orders from an unthorized person.  {B}'s

from a person who was not the owner of the account without any written authorization, and causing a misunderstanding that there had been a conversation with, and acceptance of trading orders from, the