the closing price of the previous day, which misled other persons about the trading price and/or volume of MORE shares. As the acts are considered contravention of Section 244/3(1) in conjunction with
lawsuit against those six offenders in the Civil Court for imposition of the maximum applicable statutory penalties comprising a fine of 68,456,936 baht plus interest, a suspension of trading in
campaigns, was also concentrated in the accounts of those private fund clients. On the first trading day of TIGER shares on the mai (24 October 2018), Wichu began sending trading orders of TIGER shares, using
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
be regarded as that of normal session. Accordingly, trading made during the night session will be combined with the following day ' s transactions.
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
derivatives trading decisions on the client's behalf. Upon her client's inquiry, she then informed the client of the transactions which the orders had already been entered or executed. {A} had obtained such
}, a securities investment consultant of the same company, did not record their clients? securities trading orders. The three persons admitted that they took large amount of orders via mobile phone in
securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised