Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market
") has provided platform services for trading or exchanging digital assets via its website by matching orders or arranging for the counterparty or providing the system or facilitating a person who
Mr. Anupon Sriard During the period of 25 – 31 August 2015, Mr. Anupon Sriard, as a private fund manager, instructed the securities trading accounts of the clients of the private fund to place orders
According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
the clients’ handwriting, subscription orders and switch orders or unitholders’ account books, causing damage to four clients at the total amount of 10.44 million baht. The SEC has considered that
the securities trading reports for their customers by using trading order form (Form F8) despite those trading orders were not made in trading room. In addition, they failed to completely record a
). With the referral from the Stock Exchange of Thailand on irregular trading of UNIQ shares as a result of trading orders sent via two overseas omnibus accounts causing the changes of UNIQ share price and
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
trading. This resulted in high impact on RICH shares trading values and volumes while a number of trading orders were matched within the said group. {B} {C} and {D} aided or abetted the aforesaid actions
certain group of persons had their trading orders, on a continual basis, executed through trading accounts of other persons to lure the public to trade such shares as well while in fact the persons who