? Engineering, had sold 5,950,000 EMC shares and 8,900,000 units of warrants to purchase EMC shares (EMC-W3) in his ex-wife trading account. The selling was based on non-public information concerning the
., Ltd. but he kept repeating the same mistakes.Investment consultants must keep taped evidence of their investment advice and a client's trading orders when obtaining derivative trading orders from
because the highest price on that day was lower and was decreasing during the submission of selling order. She also admitted sending the trading orders without her client's order from January 9, 2014 to
previous quarter of the same year and the corresponding financial period in 2020. This information had a positive impact on SVI’s stock price. Mr. Pongsak Lothongkam had purchased SVI shares before SVI
close friend to trade securities for himself. The amount of money withdrawn from his own account was the same amount deposited as collateral for the client's trading account. The client later withdrew the
Exchange of Thailand, the SEC?s further investigation has revealed that Witoon and the three other persons in the same group purchased GLOBAL shares and GLOBAL-W warrants and gained benefits from such
Thiratanaphokin, (27) Mr. Prasit Siriyaowon, (28) Mr. Somkiat Intasara, and (29) Mr. Surat Arsirawat, colluded to manipulate the price and/or trading volumes of DPAINT on 28 October 2024, its first trading day on
be regarded as that of normal session. Accordingly, trading made during the night session will be combined with the following day ' s transactions.
}, a securities investment consultant of the same company, did not record their clients? securities trading orders. The three persons admitted that they took large amount of orders via mobile phone in