manipulated the share price similar to the first incident. This caused the public to be misled about the price or trading volume of the securities. They placed ordered continuously with the intention to cause
obtaining client consent in cases where the business operator is unable to maintain net capital, in case of a transfer ordered by virtue of other laws and a transfer when the business operator intends to
, ordered, acted, or omitted to order or act according to their duties, consequently causing STARK to commit an offense in the above case. They are therefore subject to the same penalties under Section 300 in
client of such act. When the client asked for dividends from such shares, {A} transferred her own money to the client’s account instead to conceal the fact that she had not bought the shares as ordered
the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A
consequently ordered by the Revenue Department to return the received tax benefits and pay a fine. In this regard, TMB paid a compensation to the client for the money paid to the RD; (2) In the case of {B
information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions
trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."
SEC therefore ordered the company to review and reinforce its relevant systems. Meanwhile, the SEC will consider further appropriate measures in due course. In this regard, the institutional clients
management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to