different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market
Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012.Vasant Thienhom, SEC Deputy Secretary-General said that "When taking clients' trading orders, it is
trading order or trading securities in such a way that misleads other persons regarding the price or volume of the securities trading and placing a securities trading order or trading securities on a
Silver Line Trading Intertrade Co., Ltd. Silver Line Trading Intertrade Co., Ltd. operated derivatives business without license or registration with the SEC in violation of Section 16 of the
risk in derivatives trading. Clause 22. In cases where customer wishes to trade derivatives contract with specific risk which is different from that specified in the risk disclosure statement in Clause
2007 to August 2010, she had traded securities through the client's account as she realized that the client did not check his trading records. In case of losses or making payment for purchase, she will
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the
prices of Mida Leasing Plc. (ML) in 2008 and 2010 and Max Metal Corporation Plc. (MAX) in 2010. Upon a referral from the Stock Exchange of Thailand with regard to irregular trading condition of ML shares
aforesaid statement to certify that derivatives broker have given an explanation of risk in derivatives trading. Clause 22. In cases where customer wishes to trade derivatives contract with specific risk