to comply with investors’ orders. In the event that such compliance cannot be done, investment consultants must inform investors immediately and must not make a trading decision without investors

the group of persons above in opening trading accounts for investors to make derivatives investments. They executed trading orders in investors’ accounts, told investors to send trading orders

According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012,  executed securities trading orders for the client who acknowledged

. ____________________ *   The execution of trading orders of capital market products based on an automated program that runs product selection and trading placement without interference from any factors and according

Securities Company Limited, had made trading orders before informing the client who did not make any objection and made payments for the trading transactions. The trading activities involved shares and

trading orders sending. Such group of persons, with shared responsibilities, had placed high volume of matched trading orders for MORE shares on 10 November 2023, pushing its opening price to be higher than

complain on the company?s investor contact, Chalerm, the SEC found that Chalerm had received securities and derivatives trading orders from clients, but he had not made any of the transactions. Instead, he

trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to

client gave them the authority to take care of the account. As such, both investment consultants had entered securities trading orders on the client's behalf and then informed the client afterwards. {B

derivative warrant but did not inform the client of maturity date. In addition, there was no source of trading orders of her clients where {A} described that the clients submitted trading orders via mobile