, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders

, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf

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

Mr. Sakolkorn Sakavee Bitkub Online Co., Ltd. (Bitkub) by Mr. Sakolkorn Sakavee, Chief Executive Officer and authorized director, entered into a market maker agreement with Mr. Anurak Chueachai. They

Mr. Poramin Insom Satang Corporation Co., Ltd. (Satang) by Mr. Poramin Insom, Chief Executive Officer and authorized director, entered into a market maker agreement with LLC Fair Expo by Mr. Mikalai

Mr. Sakolkorn Sakavee Bitkub Online Co., Ltd. (“Bitkub”) by Mr. Sakolkorn Sakavee, Chief Executive Officer and authorized director, entered into a market maker agreement with Mr. Anurak Chueachai

executives, and staffs who are in relations to stocks and REIT underwriting deals, from selling them for a prescribed period of time after listing. This prohibition aims to prevent conflict of interest as the

information that is likely to have effect on the price of PPPM’s stocks or the decision making on PPPM’s stocks investment. 03/04/2023 agreed to comply with civil penalties determined by the Civil Penalty

Limited (COMAN) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or

) stocks. Their activities included driving the COMAN stock price upward and matching large-volume trading orders within the group, consequently misleading the public regarding the price or trading volumes