were induced to transfer their money to the company's account while the company also obtained benefits from trading fees which are deemed undertaking derivatives business without license in contravention
employees. The use of the I Code principle as a qualifying factor for scoring conforms to what SEC wants institutional investors, including the provident funds, to invest responsibly, considers the benefits
. Regarding the share transfer case, Auracha, then an invesment consultant at AEC, was found transfering shares in the client's trading account into her mother's account for her own benefits. Such share
trading account into her mother?s account for her own benefits. Such share transfer was prearranged, starting from Auracha?s opening a trading account for her mother without declaring their relationship to
PLC (CWT) by allowing the use of his trading account. On March 14, 2011, the Criminal Court sentenced the accused to pay a fine of Baht 600,000 for violating Sections 243(1), (2), 244(2), (3) and 296 of
Miss Noppawan Suwan During 10 - 27 September 2013, Miss Noppawan Suwan aided and abetted otherpersons to manipulate the price and trading volume of Yong Thai Public Company Limited (YCI) shares by
Mr. Viroj Arnokkaeo During 10 - 27 September 2013, Mr. Viroj Arnokkaeo aided and abetted other persons to manipulate the price and trading volume of Yong Thai Public Company Limited (YCI) shares by
share prices of Focus Development and Construction PLC (FOCUS) and Inter Far East Engineering PLC (IFEC) by arranging trading accounts of other persons for Mr. Sagha, sending manipulative trading orders
The Royal Ceramic Industry PLC (RCI) by arranging trading accounts of other persons for Mr. Sagha, sending manipulative trading orders, and helping with related financial transactions. The Appeal Court
continuously trade shares of TWZ Corporation PLC (TWZ) during the following periods: (1) September 28 - October 26, 2007, (2) April 28 - May 15, 2008, and (3) June 23 - 24, 2008, resulting in the trading of TWZ