and found that {A} had been authorized by his clients to make securities trading decisions on the client's behalf. He submitted trading orders with high trading volume for a certain period of time. {A
F2 Trading Corp : Unlicensed digital asset business (Disclosure Date : 09/08/2019)
GenesisTrade Trading Fund : Unlicensed securities and derivatives business (Disclosure Date : 22/11/2019)
to take action against alleged insider trading of certain listed securities where a group of persons gained multi-million baht of benefits by purchasing such securities with information on change of
shares by using the company?s undisclosed information concerning a deal on large disposal volume of SLC shares by its major shareholders and executives to a new investor and subsequent changes in the
permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on
strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume