(“SE”) are at the same. In addition, gross profit margin was at the same level. 4. There is no realized revenue for Trading business in the first half of 2020. Selling and administrative expenses Selling

, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment

trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."  

agreed to or colluded with five other persons to use several trading accounts to trade YCI shares in concealment and on a continuous basis to mislead the public into believing that YCI shares were traded

SEC?s further investigation has revealed that while working at Globlex, {A} made trading orders for the securities and derivatives accounts of her clients who had given their usernames and passwords to

July 31, 2007, the SEC probed into the case and found that {A}, {B}, {C}, {D} and {E} had colluded to trade RICH shares in concealment through 15 related persons securities trading accounts. They traded

spot market, open trading accounts and trade through website www.goldexasia.com.  It was, however, found that there was no gold delivery while payments were not made in full for trading transactions

information about the funds? investment plans to trade securities for her personal or other persons? gains (front running). Such trading activities were made through two securities trading accounts with

imposed on 10 persons, namely (1) {A} (2) {B} (3) {C} (4) {D} (5) {E} (6) {F} (7) {G} (8) {H} (9) {I} and (10) {J}.With the referral from the Stock Exchange of Thailand on irregular trading in UKEM shares

Milindachinla. The said persons cooperated by acting in different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share