. Such acts were done by falsifying documents relating to the trading of investment units of funds and documents relating to cash withdrawals, with the intention of deceiving clients that the investment
suspicious trading behaviors of a UBS employee who was responsible for executing securities trading for or on behalf of its clients, all of which are institutional clients. According to the SEC findings
RICH shares on a continual basis and matched orders within the group to mislead the general public in RICH share trading values and volumes, causing inconsistency with normal market condition. In the
price to increase inconsistently with the normal market condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP
manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market condition
Roles” is the topic that provides information on supervision of SEC which covers supervision of offering of tokens to the public (primary market) and supervision of intermediaries in the trading and
in 2015, which aims to create linkage among ASEAN capital markets and facilitate cross-border securities trading. It will enhance ASEAN capital market to be on par with international market and