client’s asset, which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at
Q1/2017 due to the declining in raw water sales volume) and Net profit attributable to Equity holders of the parent company was 302.67 million Baht, decreased by 61.26 million Baht or 16.83% compared
? assets and using a client's trading account to trade securities for his own interest.Following Apple Wealth's inspection report related to clients? complaints against Sakkarin and the SEC's further
maximum volume shall be applied, on the following bases: (1) Net Tangible Assets (NTA) Western U Company Limited = 372.18 x 3,299,998/3,300,000 x 100 1,548.23 = 24.04 % WP Assets Company Limited = 32.37 x
through his client's account in large trading volume for over three months. {B}'s actions were deemed interfering with client's assets. In case of {C}, the SEC received a complaint lodged by a client of a
exploiting client?s assets for personal interest. Following Thanachart's report, the SEC probed into the case and found that {A} traded high volume of securities in the client's account without permission for
the price or volume of the securities, and placing trading orders or trading securities on a continued basis with an intent to cause the price or the volume of such securities trading to be inconsistent
Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing
Universal Network Public Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume
Company Limited (STAR) by placing trading orders or trading the abovementioned stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and