TRITN securities by continuously placing buy or sell orders with the intention to cause the price or trading volume of TRITN securities to deviate from normal market conditions, with (4) Natthawat
transactions of loans to buy assets of clients with investment accounts with securities companies or can be identified as “margin loan.”SET President Dr. Pakorn Peetathawatchai said “SET is determined to
investigation, Sakkarin was found to have acted in the following manners: (1) Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio
. The shares were traded on a continuous basis to cause the trading of such shares to be inconsistent with normal market conditions and lure the investing public to buy or sell such shares. The other 17
ตราสารหนี้ที่มีลักษณะเป็นกองทุน buy & hold**) ต้องกลับมายื่นคำขออนุมัติจัดตั้งแบบปกติ เพื่อให้ ก.ล.ต. ได้พิจารณาการเปิดเผยข้อมูลของกองทุนรวมได้อย่างเหมาะสม ซึ่งจะช่วยให้การคุ้มครองผู้ลงทุนมีประสิทธิภาพ
ทรัสต์เพื่อการลงทุนในอสังหาริมทรัพย์ที่มีข้อตกลงในการขายทรัพย์สินคืนให้แก่เจ้าของเดิม (REIT buy-back) และทรัสต์เพื่อการลงทุนในอสังหาริมทรัพย์เพื่อผู้ลงทุนในวงจำกัด ซึ่งสนับสนุนให้ผู้ประกอบการนำ
complaint from an investor and further investigated the case. It was revealed that she failed to make a risk tolerance assessment before soliciting the investor to buy units of mutual funds.In addition, {B
share offering information and, prior to making investment, must pass knowledge test on risks associated with the investment. In case of retail investors, each investor is allowed to buy shares not
accounts of several groups of people to buy and sell both securities in a manner that boosted up share prices by sending trading orders in great volume with different price levels, taking both bid and offer
buying orders for additional securities. {A}, however, made decision to buy and sell securities in the client account. She also sold securities in such account with a total value of more than 900,000 baht