evidenced by large amount of related transactions. She then admitted that she took the client's trading orders via mobile phone.The aforesaid actions are in violation of Clause 20(3) of the Notification of
draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients
SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with
to evaluate their portfolio investments and transactions. The proposed revision will also result in consistency between the rules governing registered and licensed derivatives business operators.The
(“GLOBAL”) through the securities trading accounts of six persons and gained benefits from such transactions. The purchases were made in such a way that taking advantage of others by using non-public
warrants of Siam Global House Public Company Limited (“GLOBAL”) through the securities trading accounts of four persons and clearing such transactions for Mr. Witoon’s benefits in such a way that taking
Limited (“GLOBAL”) through the securities trading accounts of two persons and clearing such transactions for Mr. Witoon’s benefits in such a way that taking advantage of others by using non-public
Limited (“GLOBAL”) through his securities trading account and clearing such transactions for Mr. Witoon’s benefits in such a way that taking advantage of others by using non-public information material to
clear such transactions through his securities trading account on continual basis and in concealment to mislead the general public to believe that UMI shares were purchased or sold in great volume at that