mutual funds’ assets; (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested
; (Translation) 3 (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested assets in
to clients; (3) mutual fund management excluding foreign investment funds; (4) private fund management; (5) securities borrowing and lending; (6) financing securities business; (7) derivatives
, respectively. Mr. Anek Yooyuen, Deputy Secretary-General and SEC Spokesperson, stated that “the SEC has placed its priority on investor protection and law enforcement in accordance with the suppression policy in
by continuously placing orders to buy and sell KDH shares in a manner that pushed the price upward. They placed large-volume orders at multiple price levels, including aggressive buy orders and sell
trading orders sending. Such group of persons, with shared responsibilities, had placed high volume of matched trading orders for MORE shares on 10 November 2023, pushing its opening price to be higher than
no permission from the SEC. There were lots of victim falling into such pitfalls these days. The SEC has issued investor alerts in this matter and further placed emphasis the need for the public to