requirements will be revised to be more practical. The proposed compilation of rules covers general rules on customer contact and service, guidelines for derivatives agents and securities brokers in listed
Re: Determination of the Definitions of Institutional Investor, Ultra-high Net Worth Investor and High Net Worth Investor
baht or 129.78 percent rise, and the average daily trading volume increased from 0.37 million to 4.33 million shares.Chayanont?s action caused the price and trading volume of CHUO shares during his
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
securities trading decisions on behalf of the client. She then continuously made trading decision on behalf of the client for more than three months in high value and volume trades. {A}'s action was deemed as
authorizations for a long time for a high volume of securities and derivatives trading, which caused a great amount of damage to the client. In addition, she misinformed the client with regard to the amount of
high trading volume. They also traded RS shares on a continual basis, causing the share price to be inconsistent with the normal market condition to induce the public to trade RS shares. The acts of
in high volume and its price was changed. As a result, the trading of TAPAC shares contradicted normal market conditions. 09/11/2017 agreed to comply with civil penalties determined by the Civil