as she allowed Suthee to submit securities trading orders for the client's securities account. She also received incentive payments from such trading. Trading securities on behalf of the client and
}, GSTEL executive and (4) {D}, GJS director and executive. The SEC found that in early 2008, GSTEL and GJS, its subsidiary, made advance purchase orders of a large amount of steel from overseas suppliers at
trade securities for his own benefits through such client?s account. Trading securities on behalf of client, making trading decision without the client?s orders in the client?s securities trading
information disclosure. Moreover, it has not yet complied with the SEC and the Stock Exchange of Thailand (SET)?s previous orders requiring the company to disclose and clarify information on land purchase and
companies to strengthen their Chinese wall measures to keep confidential their internal fund operation information, such as the funds? proprietary trading decisions and pending orders, etc., to prevent the
with the trend of many stock exchanges around world that allow the sending of trading orders through program trading technology, especially high frequency trading (HFT). Right now, overseas securities
complaint filed with the Department of Special Investigation on September 9, 2014. They traded UKEM shares in concealment on a continual basis, inflated and stabilized share price, and matched orders within
trading orders once the prices match the target. Obtaining authorization to make derivatives and securities trading decisions on behalf of clients was in violation of the Notifications of Capital Market
trade such shares. In addition, trading orders were matched to benefit the same persons. Prayuth, Naruephol and Ladda aided the wrongdoings by using their own accounts to manipulate METRO and TUCC share