and found that {A} had been authorized by his clients to make securities trading decisions on the client's behalf. He submitted trading orders with high trading volume for a certain period of time. {A
Under the SEC’s policy, digital asset business operators are not allowed to provide or support deposit taking and lending services to prevent possible damage to digital asset investors and the public in the possible event of service discontinuance or financial problems that may occur on a continuous or concurrent basis among service providers as has recently been the case for foreign counterparts. In addition, the draft regulation is expected to further clarify the scope of supervision of digita...
, particularly during the current escalating trading of securities with a high P/E ratio and under cash balance rule. SEC Secretary-General Vorapol Socatiyanurak said: ?The SEC has urged securities companies to
permitted {A} to make further securities trading decisions. Besides, the securities and derivatives trading volume in the client?s account was high during the misconduct. Trading securities and derivatives on
trading orders sending. Such group of persons, with shared responsibilities, had placed high volume of matched trading orders for MORE shares on 10 November 2023, pushing its opening price to be higher than
authorizations for a long time for a high volume of securities and derivatives trading, which caused a great amount of damage to the client. In addition, she misinformed the client with regard to the amount of
F2 Trading Corp : Unlicensed digital asset business (Disclosure Date : 09/08/2019)
GenesisTrade Trading Fund : Unlicensed securities and derivatives business (Disclosure Date : 22/11/2019)