securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
continuously trade shares of TWZ Corporation PLC (TWZ) during the following periods: (1) September 28 - October 26, 2007, (2) April 28 - May 15, 2008, and (3) June 23 - 24, 2008, resulting in the trading of TWZ
during February 2 ? May 15, 2012, Bordin and Noparat had colluded or mutually agreed to use four securities trading accounts of other persons to trade PYLON shares in concealment to inflate the price and
high trading volume. They also traded RS shares on a continual basis, causing the share price to be inconsistent with the normal market condition to induce the public to trade RS shares. The acts of
the beneficial owner of Miss Karuna Kaewmanee’s securities trading accounts and five other persons who agreed to enter the settlement, to trade shares of Union Petrochemical Public Company Limited (UKEM
unknown person who was the beneficial owner of Miss Karuna Kaewmanee’s securities trading accounts and five other persons who agreed to enter the settlement, to trade shares of Union Petrochemical Public
Bangkok, November 3, 2014 ? The SEC will revise underwriting rules to provide more flexible risk management by permitting underwriters to trade underlying securities of the underwritten securities
who found that the client?s account was used for securities trading while the client was sick and did not trade any securities. Although forbidden by the client, Kruawan continued trading securities