process transactions at prices that are not advantageous or competitive, terms and conditions of transactions are unnecessarily complex; (7) the client places both buy and sell orders in proximate prices
requests for the postponement of the consideration and where the arbitrator deems it appropriate to postpone the consideration, such postponement shall not exceed two times. The arbitrator may charge the
) - 9 - reasons in writing before the commencement of the consideration, the arbitrator, if deems it appropriate, may consider the case on one-sided basis. In cases where the respondent requests for the
. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees
/201712/17101199.pdf 6611pe.doc trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market
LIMITED SEC orders AIE and AI to cooperate with their auditors Form 56-1 : Annual Registration Statements ( 3 record(s) found) Name Year Receive Date Details 2S METAL PUBLIC COMPANY LIMITED 2023 25/03/2024
. Their financial and stock transactions were interconnected, while Mr. Suthee was also authorized to place trade orders in Mr. Peeranut’s securities trading account. During the incident period, Mr. Suthee
? former investor contact, {B}, had sent trading orders through the client's account without record and evidence of trading orders. His misconduct caused damage to the client and the firm dismissed him from