sending documents to her own address to conceal high volumes of investment unit switching and buying without the client?s orders. In case of Surasak, the SEC obtained a report indicating that Surasak was

company. {E} also misled investors into believing that she was a representative or marketing officer for such foreign company. Using clients accounts to trade securities for other persons or sending trading

personnel for 10 years. (2) {B} , an investor contact of KTB Securities Co., Ltd., aided other persons in sending trading orders of TRAF shares in a manipulative manner. She was fined for her assistance in

of loss from onerous project contract in the amount of THB 32.19 million as a result of variation of current raw material price from quotation price. However, this transaction would be reviewed in the

of acquisition or disposal of assets for the listed companies, to notice to the SET is a must. Circulate letters shall be sending to the shareholders to acknowledge within 21 days counting upon the

, 2019, the Company received ordinary shares 33.33, resulting in the combined transaction size of 21.38 percent, responsible for sending circulars to shareholders within 21 days from the date of

forwarding such transfers to other offenders for trading the BM shares during such time periods above, causing the general public to misunderstand the securities prices or trading volumes, and sending trading

sending in line application. The banking and financial sector will be affected directly. Self-adjustment must be made and new forms of business must be found to cope with this likely trend as it could

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

will be useful for investor contact and client in case there are disputes over trading orders sending. Taping the conversation between investor contact and client is a requirement that in line with