securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the
indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries. The acts of {A} and {B
her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November
resulted in the large private hospital operator and increase in {X1}'s revenue from larger market share.In this regard, {B} and {C} aided and abetted {A}'s action by letting him trade {X1} shares through
transaction concerning the trade of TOG shares. 21/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a compensation of
transaction concerning the trade of TOG shares. 21/06/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary
transaction concerning the trade of PERM shares. 31/08/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a compensation of
transaction concerning the trade of PERM shares. 31/08/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary
persons. In addition, Miss Natthaporn, Miss Lalinporn and Mr. Permsin assisted or facilitated for Mrs. Chamaiporn in being involved in PERM share trading and financial transaction concerning the trade