investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
retail investors and prevent inproportionate share allocation to patrons and related persons of the issuing company in such a way that could control the IPO volume on the Stock Exchange of Thailand (SET
strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume
high trading volume. They also traded RS shares on a continual basis, causing the share price to be inconsistent with the normal market condition to induce the public to trade RS shares. The acts of
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