) Mrs. Sasinapa Waraporn. These persons who are connected through personal relationships, financial transactions, securities trading, as well as the channels and locations used for placing orders, divided

and the management, discussed approaches that the SET could adopt to review rules relating to securities trading in cash account, particularly in placing asset as collateral before purchasing in

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