Investment Decisions and Disclosure Timing? showed that listed firms have used mergers and acquisitions for business expansion. Therefore, disclosure and quality of information is very important for the
Investor Code Working Group, which comprises the representatives from the SEC and the AIMC, is preparing the Code to be used as a framework for laying out policies and guidelines for operating business based
barred her from holding any securities company management positions for six years. In case of {B}, she had used a client trading account to trade AMC shares for another person. The SEC found that Somchai
, these five unlicensed firms are or used to be located at the same site at 400 Soi Ladprao 94 (Panjamitr), Wangthonglang, Bangkok 10230. From the SEC?s finding, these firms have operated derivatives
found that he had been authorized to trade securities on behalf of the client. He had also used his client's account to trade securities for the benefit of himself with one day permission and credit line
verification showed the match with Surasak?s signature in the opening account request form and letter of explanation. Furthermore, it was found that the addresses used by Surasak and Thanjira are the same and he
, claiming that the fund will be used to make investment in stock and derivatives exchanges. In addition, Yuttana held himself out as investment advisor, offered advice and obtained benefits from giving advice
perform duties or provide services with honesty and good faith. Specifically, (1) he requested and used client’s mutual fund trading account to conduct investment transactions in mutual funds under the
selling clients’ investment units in multiple transactions. She illicitly used other employees’ login credentials to approve the redemption of investment units and the withdrawal of redemption proceeds
(1st-12th offenders), and two supporters allowing their trading accounts to be used by others (13th-14th). The group jointly manipulated the KC share price during 5 January – 19 February 2015, causing