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

Derivatives Act B.E.2546. The Bangkok South Criminal Court fined the accused of Baht 40,000. As the accused confessed, the fine was reduced by half to a fine of Baht 20,000. DV Act S.16 Criminal Complaint

orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading

40,000. As the accused confessed, the penalty was reduced by half to a 6 months imprisonment and a fine of Baht 20,000. Since the accused had never been sentenced to imprisonment, the jail term was

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

forms and depositor signatures of her clients. Nuchanart later confessed to TMB in writing that she had committed frauds against her clients’ assets and had sought undue benefits for herself at an

. 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