the securities trading reports for their customers by using trading order form (Form F8) despite those trading orders were not made in trading room. In addition, they failed to completely record a
for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and
Bangkok, November 27, 2012 ? The SEC filed a criminal complaint with the Economic Crime Division of the Royal Thai Police (ECD Police) against five companies, namely(1) Silver Line Trading Intertrade
futures trading agents. They advertised and solicited investing public to open gold futures trading account and make the trading transactions through website www.fortunebullion.com without obtaining license
, it shall be deemed that derivatives trading by a derivatives broker on behalf of clients after closing time of normal trading session is the transaction executed on the next trading day. Clause 3 For
clients after closing time of normal trading session is the transaction executed on the next trading day. Clause 34 For providing service to a client, a derivatives broker shall proceed as follows: (1
Chanchaisilp for operating unlicensed derivatives business.Sakkarin Ruamrang, SEC Assistant Secretary-General, said that ?The SEC?s probe revealed that G.O.L. (Thailand) held itself out as gold futures trading
PT Millennium Penata Futures, Ascot Global Trading Ltd., and J.R.A. Business Center Co., Ltd. Also named in the complaint are two related persons, namely Arthiphant Thongchandr, as an accomplice with
Short-Form report of the shares offering results must be submitted at least two (2) business days prior to the first trading day of the shares or within 30 days after the closing date of the offering