manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
informed of derivatives price ranges in advance and when the prices moved within the ranges, {A} then executed trading orders. She sometimes sent trading orders and informed the client afterwards. {A
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
Thai SEC’s approach to enhancing fundraising through digital tokens and adoption of innovation in digital asset businesses. Additionally, she exchanged views and experiences in promoting the
, organized by Asia Asset Management. Speaking on the topic “Digital Asset and Finance: A Perspective from Thailand,” she shared experiences, challenges, and guidelines related to the supervision and
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
the share price manipulation of Chai Watana Tannery Group PLC (CWT) by handling the trading orders of CWT shares for a group of persons. She also traded CWT shares for herself through Mr. Payut
Picture Entertainment) in form 246-2 to the SEC Office within the specified period after she acquired or disposed Traf shares by herself and through others. So that her aggregate holding of such shares
Miss Sarunya Khemtong Allow Mr. Yinganan to use her account for buy SSPF securities by using his money to purchase . After selling , she transfers money for Mr. Yinganan's profit 12/05/2017