According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order

the clients’ handwriting, subscription orders and switch orders or unitholders’ account books, causing damage to four clients at the total amount of 10.44 million baht. The SEC has considered that

the securities trading reports for their customers by using trading order form (Form F8) despite those trading orders were not made in trading room. In addition, they failed to completely record a

).  With the referral from the Stock Exchange of Thailand on irregular trading of UNIQ shares as a result of trading orders sent via two overseas omnibus accounts causing the changes of UNIQ share price and

, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders

trading. This resulted in high impact on RICH shares trading values and volumes while a number of trading orders were matched within the said group.  {B} {C} and {D} aided or abetted the aforesaid actions

certain group of persons had their trading orders, on a continual basis, executed through trading accounts of other persons to lure the public to trade such shares as well while in fact the persons who

the trading volume of such shares on a large scale.  In addition, several trading orders were matched within the same group, causing the PYLON trading to be inconsistent with the normal market condition

clients' securities trading orders. She then admitted that the clients' trading orders had been received via mobile phone and via blackberry messenger. In this regard, the aforesaid actions are in violation

client had ordered to sell 50,000 shares at 19 baht per share on February 25, 2014 but {A} instead submitted the selling orders for 49,000 shares at 17.50 baht per share. {A} admitted doing such action