addition, the SEC revoked his status as an approved capital market investment consultant for using client securities trading account to trade securities for himself; as well as will not consider his
. {C}, an investor contact of Kiatnakin Securities Co., Ltd., is suspended for three months for using a client's trading account to trade FOCUS shares for herself in contravention of the SEC regulations
securities trading account to trade securities for others and accepting authorization to make securities trading decision on behalf of client, in violation of Clause 20(1) and (2) of the Notification of
into the case and found that from July 24 to August 26, 2009, {A} {B} {C} {D} {E} {F} {G} {H} {I} {J} and {K} had colluded to trade MILL shares through securities trading accounts of their own and other
10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a
trade such shares. In addition, trading orders were matched to benefit the same persons. Prayuth, Naruephol and Ladda aided the wrongdoings by using their own accounts to manipulate METRO and TUCC share
agreed to or colluded with five other persons to use several trading accounts to trade YCI shares in concealment and on a continuous basis to mislead the public into believing that YCI shares were traded
spot market, open trading accounts and trade through website www.goldexasia.com. It was, however, found that there was no gold delivery while payments were not made in full for trading transactions
consultant to do so. Auracha's actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct upon the client's asset , (3) use of the client's trading account to trade