materially high volume. {A}'s conducts were deemed trading securities on behalf of the client using his own decision, which was an interference with client's assets and non-compliance with standards of conduct

, e.g., exposure to high default risk, low return rate, unclear usage of funds, and non- transparent approval of transaction.  The purchase of DEVA shares, a company with unstable financial status, and JJ

sending documents to her own address to conceal high volumes of investment unit switching and buying without the client?s orders. In case of Surasak, the SEC obtained a report indicating that Surasak was

all types of complex, non-complex and high-risk capital market products.

substantial amount of money, which led to the company?s high credit risk exposure and could unfavorably affect its financial status. On December 3, 2008, SECC reported to the SEC that the transactions had never

debentures to existing shareholders; (6) offer for sale of debt securities to foreign institutional investors. The offering for sale of debt securities to high net worth and institutional investors is also

substantially high incentive. {B}'s actions were deemed dishonest, unprofessional and illegitimately seeking benefits from investors in that he used the client's account to trade securities for the benefit of his

trading among their accounts in high volumes in the manner that boosted and stabilized the share price to induce the public into the trading. Kanit aided and abetted such manipulative trading by

management measures in response to investors? risk tolerance and expectation, taking into account such factors as product quality, risk diversification, limitation for investment in high-risk products and

from retail clients whose trading value is below 20 million baht, and thus subject to the sliding scale, to offset below-the-cost fees charged on institutional or high net worth clients. Such practice is