the case of Thai national holiday, selling agent may exercise own discretion whether to trade investment units providing that the service information must be disclosed to investors in advance. In
, recipient countries of those foreign inflows, should be cautious of possible asset price fluctuation associated with capital surge, caused particularly by carry trade strategy. To cope with such situation
market conditions. The evidence showed that Sagha?s continuous trading activities in concealment had misled and lured the public to trade FOCUS, IFEC and RCI shares, and that trading orders were matched
mutual fund which will be allowed to (1) invest in both equity or debt instruments issued by CDM project operators, (2) trade Certified Emission Reduction (CER), (3) engage in other transactions such as
) seeking benefits from investors through her job position, (2) agreeing to trade securities or derivatives on her clients? behalf and (3) failing to perform duties or providing services honestly, as
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July 31, 2007, the SEC probed into the case and found that {A}, {B}, {C}, {D} and {E} had colluded to trade RICH shares in concealment through 15 related persons securities trading accounts. They traded
spot market, open trading accounts and trade through website www.goldexasia.com. It was, however, found that there was no gold delivery while payments were not made in full for trading transactions
misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He
realization of the losses, the above four persons ordered or permitted or facilitated recording of account entries of overseas trade accounts payables lower than actual liabilities. In case of GSTEL, the said