Office of the Securities and Exchange Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker _____________ By virtue of Section 14
accounts of several groups of people to buy and sell both securities in a manner that boosted up share prices by sending trading orders in great volume with different price levels, taking both bid and offer
through his client's account in large trading volume for over three months. {B}'s actions were deemed interfering with client's assets. In case of {C}, the SEC received a complaint lodged by a client of a
at a fixed rate of 2 million baht. Over the years, the trading volume on TFEX have been increasing continuously. Thus, to align the fee with the cost of supervising derivatives exchange and in line
on another overseas exchange simultaneously or in proximate period, on the condition that equity trading volume on such oversea exchange is higher than that on the SET. In addition, the overseas
retail investors and prevent inproportionate share allocation to patrons and related persons of the issuing company in such a way that could control the IPO volume on the Stock Exchange of Thailand (SET
other persons to trade shares of Union Mosaic Industry Public Company Limited (“UMI”) and to clear such transactions through her securities trading account on continual basis and in concealment to mislead
.1 9% when compared with Q3 / 2 0 2 3 , The reason for the decrease in income is that the company's sales volume has decreased due to the increase in competitors both domestically and internationally
for the clients trading securities under cash balance rule or those transferring high volume of securities into their accounts to increase their credit limit and later transferring such securities out