submitted securities trading orders through the client's account for the benefit of his own and others. In addition, such securities trading used proceed from loan whereby {B} acted as intermediary to
} had submitted some trading orders and later asked the client to re-submit those orders via the phone recorder. Moreover, several transactions showed that the securities were traded intra-day at the
-term debentures and B/E to allow issuing financial institutions to use financial statements prepared according to the generally accepted accounting standards and submitted during accounting periods as
on short-term debentures and B/E to allow issuing financial institutions to use financial statements prepared according to the generally accepted accounting standards and submitted during accounting
prices, quantities, and times, resulting in matched trades among themselves. They also submitted buy orders at multiple price levels to obstruct other investors and push the price of AKP shares upward
-high net worth investors, investment units of mutual funds with investment in derivatives, hybrid securities, and structured notes.*** Any applications submitted by Mr. Soontorn for SEC approval to be
Emergency Decree after the criminal complaint has been filed. In addition, the SEC has submitted information regarding the Exmix platform to the Ministry of Digital Economy and Society (MDES) for the purpose
-262-0909 13/02/2020 - 12/02/2025 6 BBL ASSET MANAGEMENT COMPANY LIMITED (The application submitted for a renewal of approval is currently under the consideration of SEC) 175 SATHORN CITY TOWER, 7TH
information similar to that submitted to investor or home regulator by such person as required by law or regulations, providing that [person responsible for undertaking of foreign collective investment scheme