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admitted that he had been authorized by his clients to enter securities trading orders on the clients' behalf and then inform such client via mobile phone after the trades were executed. {A} also admitted
DAOL Securities (Thailand) Public Company Limited Between October 1, 2022 and July 10, 2023, DAOL Securities (Thailand) Public Company Limited, accept purchasing or selling orders from customers
(AMR). These actions included placing buy or sell orders designed to artificially inflate prices, submitting bids that hindered others from making their own buy orders, placing small-volume buy orders to
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
Capital Nomura Securities PLC., a number of securities trading orders from an account of {A}'s client had no supporting evidence for a period of time. {A} admitted to Capital Nomura Securities PLC., that he
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
, respectively. The orders have been issued and effective today, after finding indicated that both investor contacts used their clients? accounts to trade securities for others. In case of Meaunchit, the SEC