Bangkok, 1 March 2019 ? The SEC is seeking public comments on the proposed rules for data submission to the SEC Office by digital asset business operators and initial coin offering (ICO) portals
methods for submission of trading orders. Institutional investors submitted trading orders at market price (market order) while retail investors submitted trading orders with specific prices (limit order
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
The allegation is a consequence of various complaints lodged to the SEC in relation to the increased debt of THB 26,000 million of EARTH following its submission of the financial statement for the
) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
close down without providing advanced notification to the SEC. The companies, however, must provide service channels for their customers, i.e., submission of trading orders through its headquarters. (2
buying and selling such shares. Sippakorn helped to provide three trading accounts for submission of trading orders while Rinnapa allowed trading orders to be submitted through her account. Such
guideline for risk disclosure document specified by the Association of Securities Companies with approval of the SEC Office; (2) notifying customer of detailed procedures for submission of trading order