bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription
bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions
own bank account to receive transfers of the total B/E sale money to be further distributed to other persons while (6) Jaroonluck, secretary to the KC Board of Directors, assisted in executing certain
through Rinnapa?s account by executing trading orders in inappropriate manners.The acts of Lalana, Sippakorn and Rinnapa were considered contravention of Section 243 (1) in conjunction with Section 244 and
. Natcha Suttipate and (8) Ms. Nijjawan Iamsaard were involved in the wrongdoing of Thanaporn by executing transactions for clients whose activities were clearly irregular in violation of the bank's
suspicious trading behaviors of a UBS employee who was responsible for executing securities trading for or on behalf of its clients, all of which are institutional clients. According to the SEC findings
connection with the said issuance and offering of shares; (2) entering into negotiations, making agreements and executing relevant documents and agreements, and undertaking any action relevant to the
Securities company Foreign Securities company Big lot (please specify the name(s) of parties executing the transaction with the reporting person (if known)) ( ) Direct sale/purchase (please specify the name(s
and executing of customer’s derivatives trading order, containing at least the details of transactions executed by it for the customer from the time the order is taken until the transaction is completed