customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
Office (AMLO) for further consideration of actions under their authority as the offenses related to unfair securities trading constitute a predicate offense under the Anti-Money Laundering Act B.E. 2542
Civil Court (Undecided Case No. 2374/2562 and Decided Case No. 6984/2563). The Court of Appeal’s decision is final.SEC Secretary-General Ruenvadee Suwanmongkol said: “This is a case of unfair treatment
investment units en masse. In such events, mutual funds are forced to dispose of their assets in a fire sale leading to a plummet in market price. This situation could be unfair to existing investors because
unfair securities trading practices are also listed as a predicate offense under the Anti-Money Laundering Act B.E. 2542 (1999), the SEC has reported the case to the AMLO for consideration of further
misconduct was deemed taking an unfair advantage of other persons in violation of Section 241 and liable to penalties under Section 296 of the Securities and Exchange Act. The Criminal Fining Committee has
learned of such facts from his positions at SLC.His actions were deemed using inside information to gain unfair benefits over other persons in contravention of Section 241 of the Securities and Exchange Act
imposed fines on the aiders. (Details in the SEC News Release No.79/2010 and 91/2010). ?Share price manipulation is unfair trading. It damages confidence of investors and all stakeholders in the capital
Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best