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
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
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
Bangkok, June 28, 2016 ? The Criminal Fining Committee has imposed fines on nine manipulators of the price and trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares, with
-price matching for the trading activities within their own group. Such transactions misled other investors into believing that TAPAC shares were traded in high volume and its price was changed. As a
Mr. Patcharadanai Chanhatthakit Mr. Patcharadanai Chanhatthakit engaged in manipulative trading activities involving 4 securities, including (1) stocks of Asia Biomass Public Company Limited (ABM
money into the second client's bank account. In addition, Sakkarin used the trading account of the second client to trade securities for himself with the trading volume exceeding 40 million baht; (3
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