client?s account and concealed her wrongdoing to deceive the client. Her actions contravene Clauses 11(1) and (2) of the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15
Investigation (DSI) against Sompong and four accomplices on the grounds of defrauding and misappropriating SECC?s assets by falsifying documents to deceive the company into paying money for the purchase of non
account. Clause 29 In providing derivatives brokerage services, the derivatives broker shall not display any false statements or conceal any facts which should be disclosed in such a manner that may deceive
shall not display any false statements or conceal any facts which should be disclosed in such a manner that may deceive or materially mislead the clients. 8 Clause 30 The derivatives broker shall put in
traded RICH shares on a continual basis and matched orders within the group to mislead the general public in RICH share trading values and volumes, causing inconsistency with normal market condition. In
) through fifteen other persons’ trading accounts in concealment to mislead the general public to believe that RICH shares were purchased or sold in great volume or the price of RICH shares had changed at
) through fifteen other persons trading accounts in concealment to mislead the general public to believe that RICH shares were purchased or sold in great volume or the price of RICH shares had changed at that
to purchase Asset Bright Public Company Limited ("ABC") shares on a continued basis and in concealment in order to mislead the general public to believe that ABC shares were purchased or sold