manipulating share price of Thai Plastic and Chemicals Plc. (TPC). With the referral from the Stock Exchange of Thailand on irregular trading of TPC shares by a group of persons, the SEC probed into the case and

the securities trading reports for their customers by using trading order form (Form F8) despite those trading orders were not made in trading room. In addition, they failed to completely record a

According to case referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, it was revealed that during the months of January – March 2017, the nine individuals

procedures for proof of guilt committed by a group of persons which is usually the case with market manipulation;      1.4 Supervision of exchange-based trading to maintain continuity and reliability of the

Page 1 of 3 Ocean Commerce Public Company Limited 148/1 Soi Raminthra 14, Raminthra Road, Tharang Sub-district, Bang Khen District, Bangkok 10230 Tel: 02-943-6663-4 Fax: 02-943-6343 02-943-7740 No

Exchange Clause 2 A derivatives trading system on derivatives exchanges is a fundamental system which has connection to the clearing and settlement system of derivatives clearing houses and other relevant

. He also claimed that the share issuer would increase capital shares and be allowed to resume trading on the Stock Exchange of Thailand. The client was interested in such deal but only had money for

and account status through the specified websites by themselves with trading fee at USD80 per transaction and fixed currency exchange rate at 35 baht per USD1 or approximately 2,800 baht per

registered as market maker with derivatives exchange licensed by the Securities and Exchange Commission, to provide liquidity for trading of gold derivatives in such derivatives exchange. Clause 2 A

Office of the Securities and Exchange Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker _____________ By virtue of Section 14