trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received

? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders

found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the

client had ordered to sell 50,000 shares at 19 baht per share on February 25, 2014 but {A} instead submitted the selling orders for 49,000 shares at 17.50 baht per share. {A} admitted doing such action

larger proportion. Therefore, the company’s total operating results for the six-month period which ended on June 30, 2019 have profited as of ฿ 0.99 million while loss for the same six-month period last

decreased by a larger proportion. Therefore, the company’s total operating results for the nine-month period which ended on September 30, 2019 have profited as of ฿ 5.80 million while loss for the same nine

. The client, however, did not reject the transactions. Furthermore, most of internet trading orders were submitted via IP Address of KTB Securities.Panadda, in addition, admitted that she was responsible

accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's

a trading order from the client's securities trading account without her client's order. {A} admitted doing such action, reasoning that she was unable to contact the client at the time the share

Capital Nomura Securities PLC., a number of securities trading orders from an account of {A}'s client had no supporting evidence for a period of time. {A} admitted to Capital Nomura Securities PLC., that he