’ acknowledgment or consent.  _________________________Notes:* At-The-Open order (ATO) is an order to buy or sell securities at the session’s opening price. Trading orders of this kind are sent during pre-open

PICO’s shares.  Accordingly, Mr. Surin Banyongponglert had benefited from the sale of shares by receiving the benefits from the difference of the purchase price and sell price, and thereby causing

admitted that the client allowed him to sell the securities in cases of making profit or potential loss. From his conversation with the client recorded, he traded securities for the client several times a

session. Besides, {A} admitted that she advised the client to sell the other securities to settle the buying order which the client agreed and asked her to submit the selling order via mobile phone

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

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