action by placing trading orders through other persons? trading accounts and making payment for such transactions.Swake?s action was in violation of Section 241 of the Securities and Exchange Act B.E. 2535
referral from the Stock Exchange of Thailand, the SEC probed into the case and found that on September 16, 2013, {A} had traded 130.12 million SSI shares by placing a total of 299 trading orders through
Clause 4 as well as the following information: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of
: (1) Customer type, whether an institutional or retail investor, and also indicate where a customer placing orders for several persons or through series of accounts in undisclosed manner (omnibus
underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of the securities company or its client during placing short selling order, in case of short selling by means of entering
units for exchanging with underlying shares of ETF subject to ETF scheme, as the case may be, in the possession of the securities company or its client during placing short selling order, in case of short
the securities company or its client during placing short selling order, in case of short selling by means of entering into exchanging in-kind for making delivery; 4 (b) there has been an order to
not involve a change of beneficial ownership of such securities; 2. Placing a https://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/MARKETMISCONDUCT.aspx < 1 ... >> > < 1 ... >> > Previous 1 2 3 4 ... Last
mai. This manipulation involved continuous trading activities both before the morning trading session and during intraday trading. Examples include placing large-volume buy and/or sell orders across
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