client?s behalf and failure to keep complete record of securities trading orders were in violation of the Notifications concerning personnel in the capital market*, the SEC therefore suspended {A} from his
performed his duties completely was failure to perform duties with honesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended
securities trading was made from the client and seeking benefits from client during performance of duties were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the
price and/or trading volumes of COMAN stocks during 24 May – 18 June 2021. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group
. Ms. Ruenvadee Suwanmongkol, SEC Secretary-General, said “Currently, there is a trend that the new generations are interested in investing in capital market products including stocks, mutual funds and
his dividend payment unless his securities were transferred to another person?s account. She then transferred the client?s five stocks worth 5 million baht at the time into her own account and three
trading orders or trading MBAX’s stocks in such a way that deceive investors by controlling or artificially affecting the price or volume of the securities, and placing trading orders or trading securities
agreement for machines and equipment or in a construction agreement or in a sales and purchase agreement for the products or services produced or supplied by an infrastructure business; (e)7 the shares issued
shares issued by a company having all of the following characteristics: 1. investing in the assets under (a) (b) (c) or (d) collectively not less than seventy five percent of the company’s total asset