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
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
Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume. He
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
The Civil Sanction Committee passed a resolution imposing a civil sanction on Surasak and Ekkamon in the case of insider trading of GLOBAL shares on 22 August 2012; however, both persons refused to
authorizations for a long time for a high volume of securities and derivatives trading, which caused a great amount of damage to the client. In addition, she misinformed the client with regard to the amount of
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