relating to the financial aspect of business operators, for example, the number of shares held, shareholding proportion, trading account numbers. Verification data: Data for verification purposes, for
found that on October 3, 2012, {A} {B} and {C} had colluded to trade TPC shares through their own securities trading accounts and the accounts of {D} and {E}. The trading was done in the manner that
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
www.xt.com From 2022, the digital asset exchange platform provider on the website www.xt.com ("XT.COM") has been providing a platform for trading or exchanging digital assets, which
") has provided platform services for trading or exchanging digital assets via its website by matching orders or arranging for the counterparty or providing the system or facilitating a person who
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Commission No. SorThor. 19/2554 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker under Quota Allocation By virtue of Section 14 and Section 19 of the Derivatives
Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading
Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders
the previous year, loss decreased by 28% compared to Q2/2018. 3 2. Financial Performance Summary – by business (Unit : Thousand Baht) Revenues by business Q3/2018 Q3/2017 Δ% Q2/2018 Δ% Q1/2018 Δ