}'s account. Therefore, it was deemed that {B} had used the trading account of the client to trade securities for himself.The misconduct of {A} and {B} was an exploitation of investors' trading accounts
. She deceived the client to transfer cash into his account and used the cash for her own securities trading. {A}'s actions were deemed dishonest, fraud, wrongful use of the clients? assets and
payment as ordered by the Settlement Committee. {A}'s acts were deemed as using client trading accounts to trade securities for herself and being the accomplice in share price manipulation scheme, in
undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an
conflict of interest with REIT, the following manners shall be deemed sufficient disclosure of information to unitholders or investors: (1) disclosure [of information] through the channel as stated by the
Bangkok, 17 October 2023 – SEC warns the private sector to beware of the activities which may be deemed the undertaking of the SEC-supervised securities, derivatives, and digital asset businesses
capital market personnel for a period of three months and 22 days. In this regard, Asia Wealth has already suspended her from work for six months. As a result, the SEC's suspension is deemed to have been
consultant for one month. In this regard, RHB Securities (Thailand) has already suspended him from work for an equal period of one month. Thus, the SEC's suspension is deemed to have been served.Investors are
was a securities purchase that took advantage of a material, non-public fact that influenced the securities price, which was deemed an exploitation of third parties and liable to the offences under