behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the

complain on the company?s investor contact, Chalerm, the SEC found that Chalerm had received securities and derivatives trading orders from clients, but he had not made any of the transactions. Instead, he

shares from {D} and kept them in an account of {C}'s client. When PAO shares resumed trading on-exchange, {C} placed the orders to unload all PAO shares in the account. {H}, however, continued advising her

client assets for personal gains by having his clients transferred payment for subscription of mutual fund investment units as well as their deposits into his own account. At the time of his wrongdoing

The regulatory revision on the information disclosure and an issuer’ auditor takes into account the readiness of the capital markets without creating too much burden for stakeholders. Significant

account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12

Bualuang Securities Plc. and Seamico Securities Plc., respectively, aided and abetted the manipulative trading by executing such trading orders, taking orders from person who was not the account owner, and

  whether there was any unusual trading during such period of time was also taken into account, the results of which are as follows: 1. Cause of temporality halt on the SET?s trading system         Circuit

million baht mainly due to 5% growth in Chemicals trading business from 927.7 million baht to 969.6 million baht. Sales income from subsidiary dropped 13% from last year, from 26.1 million baht to 22.6

on insider trading and market manipulation offenders under Sections 241 and 243 of the Securities and Exchange Act B.E. 2535 (1992). The bounty and gratuity will be paid in the amount up to 30% of the