derivatives products to deposit money into banking accounts of two securities companies for Sureerat?s derivatives trading account. Such wrongdoing was in violation of Section 16 of the Derivatives Act B.E
person undertaking derivatives business without obtaining proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of the Act. The SEC
-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession ; (2) Investing in or https://publish.sec.or.th/nrs/2249pe.doc Section 96 of the following
. Soonthorn Thongperm, Plan and Policy Analyst, Practitioner Level, the Administration Section, accepted the donation on behalf of the Chatuchak District Office. Additionally, the SEC donated fertilizer
business operations in accordance with relevant rules, conditions and procedures. Therefore, pursuant to Paragraph 1 of Section 35 of the Emergency Decree, the SEC Board at a meeting on 11 January 2024
examination revealed that on 12 July 2023 (one business day), the aforementioned JMT selling orders originated from BBLAM’s trading account, executed through Citicorp Securities (Thailand) Limited. At the time
such manipulation. At closing, the UMI price quadrupled from 7.75 baht per share on 8 January 2013 to 38.75 baht per share on 28 February 2013. An average daily trading increased nine times from 3 milion
”) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with the
(“UMI”) through twelve securities trading accounts in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that time which was not consistent with