Public Company Limited (“MSC”) by placing trading orders or trading MSC’s shares in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and
of Enforcement : -- All -- Administrative Orders Administrative Sanctions Cases Settled Civil Sanction Criminal Complaints Date from : To : Keyword : Search Relevant Informations > Criminal Sanction
: Type of Enforcement : -- All -- Administrative Orders Administrative Sanctions Cases Settled Civil Sanction Criminal Complaints Date from : To : Keyword : Search Relevant Informations > Criminal
admitted that he had been authorized by his clients to enter securities trading orders on the clients' behalf and then inform such client via mobile phone after the trades were executed. {A} also admitted
DAOL Securities (Thailand) Public Company Limited Between October 1, 2022 and July 10, 2023, DAOL Securities (Thailand) Public Company Limited, accept purchasing or selling orders from customers
(AMR). These actions included placing buy or sell orders designed to artificially inflate prices, submitting bids that hindered others from making their own buy orders, placing small-volume buy orders to
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
Capital Nomura Securities PLC., a number of securities trading orders from an account of {A}'s client had no supporting evidence for a period of time. {A} admitted to Capital Nomura Securities PLC., that he