transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s

Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)

bank accounts of nine persons, namely Pataman, Supichaya, Meesak, Apinunthakan, Tepparit, Tree, Phawit, Siriya, and Chanatip.  Trading from these accounts were sent and matched within the group in the

established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data” means statements that are created, sent, received, stored or processed through

specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data”1 means statements that are created, sent, received, stored or processed through electronic

any legal entity licensed to undertake finance or commercial banking business. “electronic data”1 means statements that are created, sent, received, stored or processed through electronic procedures

the activation of circuit breaker system when mai Index dropped by 10 percent. It had sent market halt to all members? system, resulting in an automatically halt in the trading system of all members. 2

According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading

licensed derivatives business operator in the category of derivatives brokerage; “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ business

licensed derivatives business operator in the category of derivatives brokerage; 2 “electronic data” means data that are created, sent, received, stored or processed through electronic procedures; “business