evidenced by large amount of related transactions. She then admitted that she took the client's trading orders via mobile phone.The aforesaid actions are in violation of Clause 20(3) of the Notification of
draft, taking into account comments from public hearing on proposed principles early this year, covers prevention on use of inside information, transactions with related persons for the benefit of clients
SEC has ordered THL to arrange to have a special audit by the SEC approved auditor under Big Four firms on doubtful management and internal control, appropriateness on entering into transactions with
to evaluate their portfolio investments and transactions. The proposed revision will also result in consistency between the rules governing registered and licensed derivatives business operators.The
in making financial transactions concerning the purchase of PDI's shares. 30/03/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
assisted Pinit in making financial transactions concerning the purchase of PDI's shares. 30/03/2018 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
manipulation of Millcon Steel Public Company Limited ("MILL")'s share price by conducting financial transactions related to MILL share trading and being a beneficiary, instead of Mr. Sittichai and
of Millcon Steel Public Company Limited ("MILL")'s share price by conducting financial transactions related to MILL share trading and being a beneficiary, instead of Mr. Sittichai and
Millcon Steel Public Company Limited ("MILL")'s share price by conducting financial transactions related to MILL share trading and being a beneficiary, instead of Mr. Sittichai and Miss