obtained by virtue of their positions to sell shares and warrants of Unique Mining Services Plc. (UMS) and also imposed a fine on Patra Chalermsaphayakorn as an aider. The Settlement Committee imposed a

he obliged under any binding document to sell such assets to repay his debts. Moreover, it appears that NIPPON did not check the existence of such assets or appraise the value in consideration of the

wrongful acts against RAM documents.The SEC found that {A}, then RAM managing director responsible for operation and management of RAM assets, arranged for RAM to sell its acquired shares of Kiatnakin Bank

periods as well as popular funds seem to considerably attract more investment money than others.  Unfortunately, most investors tend to buy high and sell low, getting caught in a wrong market timing. It is

1property fund and REIT in terms of return, investment policy, and fee as well as tax impact. The Type 1 property fund must sell the assets to newly-established REIT for an exchange of unit trusts and the

failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment

client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. {A} admitted that the client allowed him to sell the securities in cases of making profit or

(settlement date) ก็คือวันที่ลูกค้าส่งคำสั่งเพื่อปิดสัญญา (Settle Sell or Settle Buy order) แม้ในสัญญา คู่สัญญามิได้ตกลงกันว่าจะทำการส่งมอบสินค้ากันในวันใดแต่ถ้าพยานหลักฐานแสดงให้เห็นว่าจะส่งมอบกันในอนาคต

concealing and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows

and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, he acted as follows