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securities trading account without any written authorization from the account owner. He admitted that both clients were siblings and the account owner asked her brother to submit trading orders without prior
}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to
derivatives trading orders for several clients without sources of orders. From the recorded conversation, it was found that Napat contacted some persons and asked for permission to submit securities and
public to be cautious when being asked to trade digital assets. The public should examine whether the operator is on the list of SEC’s digital asset business applicants. SEC reiterates that SEC has not
session. Besides, {A} admitted that she advised the client to sell the other securities to settle the buying order which the client agreed and asked her to submit the selling order via mobile phone
operation against corruption. Also, the SEC asked securities and asset management companies to adopt the Indicator as an investment factor for their proprietary trading and investment of mutual funds under
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