misconduct was deemed as failure (1) to perform duties or provide services honestly and (2) to execute trading transactions according to the order of the account owner or the authorized person. Moreover, he
account owner. Meanwhile, Patcharee took trading orders from an unthorized person. Nattapon?s misconduct was deemed as failure (1) to perform duties or provide services honestly and (2) to execute trading
Sakkarin while in fact Sakkarin did not execute any purchase order of such shares. Later, Sakkarin lied to the client that his shares in the client's account had been sold with capital gain and he wanted his
transfers, counterfeited the investor’s signature to execute redemption transactions, and used the ATM card to withdraw money from the banking account and spent it for her own benefit. Such wrongful acts
of Clauses 20(2) and 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and
for intermediaries or their employees to use advance information on clients? trading orders of securities or derivatives to execute their own orders before clients? (front running), or disclose such
the trading account or trading the futures and/or options on behalf of the Client as follows: 1. Futures 1.1 Nature of Futures Futures is a contract in which parties are bound to perform their
appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
later entirely cancelled. His intention in placing selling orders was to test the market, without intention to execute transactions, in such a way that misleads other persons regarding the price or