(UREKA) by placing trading orders or trading UREKA’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders
placing trading orders or trading UREKA’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading
Section 92 of the Securities and Exchange Act B.E. 2535 (1992) permits securities companies to establish a branch office upon approval from the Office where the request for permission and granting
Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9
trading accounts to commit unfair trading activities was subject to the penalties under Paragraph 2 of Section 297 of the SEA in conjunction with Section 83 of the Penal Code.In the case of Pilailpit, by
and Section 296/2 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Section 83 of the Penal Code. Additionally, the use of other persons’ securities trading accounts to
avoid revealing the details of his related persons who entered into share trading transactions with RAM during 2012-2013. The said misconduct was in violation of Section 312 of the SEA. The SEC therefore