which includes sufficient, fast and appropriate disclosure of pre-trade information (if any) and post-trade information; (4) having a recording system regarding trading information, especially information
disclosure of pre-trade information (if any) and post-trade information; (4) having a recording system regarding trading information, especially information related to execution of trading transactions, to
unauthorized persons from accessing or amending the information relating to its securities business operation. Clause 9.1011 A securities company shall retain evidence regarding securities trading and maintain
Thailand on irregular trading in SLC shares during March 31 - April 29, 2010, the SEC probed into the case and found records kept by the suspects regarding the details of the group trading in SLC shares
September 2013, Mr. Siwasit Sainumphung colluded with the five persons above to use several trading accounts to trade YCI shares in concealment and on a continuous basis to mislead the public into believing
resolution on December 30, 2014, along with the transfer of work and personnel from the Office of the Agricultural Futures Trading Commission (AFTC). Vorapol Socatiyanurak, SEC Secretary-General said, ?The SEC
Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to
company. {E} also misled investors into believing that she was a representative or marketing officer for such foreign company. Using clients accounts to trade securities for other persons or sending trading
expand the business in various fields. Currently, HECH hold 692,439 shares of GS equivalent to 34.62 percent of total paid-up capital of GS after thetransaction completed. Moreover, the transaction has