shares by using the company?s undisclosed information concerning a deal on large disposal volume of SLC shares by its major shareholders and executives to a new investor and subsequent changes in the
price soared from 4.92 baht per share on July 23, 2009 to 8.10 baht per share on August 26, 2009. Moreover, MILL share's average daily trading volume jumped from 0.63 million shares to 6.77 million shares
on the clients? behalf at a high trading volume and value. Later, the clients demanded her to compensate for losses incurred from trading. In addition, {A} admitted to trading in such manner by giving
exploiting client?s assets for personal interest. Following Thanachart's report, the SEC probed into the case and found that {A} traded high volume of securities in the client's account without permission for
SEC?s subsequent investigation revealed that during the aforesaid period FOCUS shares were traded in great volume and the share price changed inconsistently with normal market conditions because the
for the clients trading securities under cash balance rule or those transferring high volume of securities into their accounts to increase their credit limit and later transferring such securities out
make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading
Co. Ltd. that {A} had been authorized by his clients to make securities trading decisions on the clients' behalf where he frequently made trading decisions with relatively significant volume. He
(AMR). These actions included placing buy or sell orders designed to artificially inflate prices, submitting bids that hindered others from making their own buy orders, placing small-volume buy orders to