leading to lower operating costs. Additionally, the SEC will use RegTech for a better regulatory supervision and place high importance on cyber resilience. Strategy Two: To promote the Thai capital market
materially high volume. {A}'s conducts were deemed trading securities on behalf of the client using his own decision, which was an interference with client's assets and non-compliance with standards of conduct
, e.g., exposure to high default risk, low return rate, unclear usage of funds, and non- transparent approval of transaction. The purchase of DEVA shares, a company with unstable financial status, and JJ
substantially high incentive. {B}'s actions were deemed dishonest, unprofessional and illegitimately seeking benefits from investors in that he used the client's account to trade securities for the benefit of his
there were nothing related, (3) showing registered capital as high as 20,000 million baht. In addition, it was found that an executive holds several identification cards under various names and used those
trading among their accounts in high volumes in the manner that boosted and stabilized the share price to induce the public into the trading. Kanit aided and abetted such manipulative trading by
significantly in the past years. The above actions will boost six strategic moves set out in the strategic plan, comprising (1) attaining high regulatory standards on par with internationally accepted standards
clients showed trading transactions made on a continual basis and in high volume but the source of orders was not found. Besides, {A} persuaded the clients to trade securities where he was the one
ถึงการส่งคำสั่งซื้อขายที่มีความถี่สูง (High Frequency Program Trading: HFT) แก่พนักงาน ก.ล.ต. ตลาดหลักทรัพย์แห่งประเทศไทย และบริษัทหลักทรัพย์ รวมกว่า 200 คน ทั้งนี้ การดำเนินการดังกล่าวเป็นการเตรียม
sending documents to her own address to conceal high volumes of investment unit switching and buying without the client?s orders. In case of Surasak, the SEC obtained a report indicating that Surasak was