SEC is rather to ensure fair treatment and that investors have sufficient tools to protect their own rights. The SEC has used important measures in building confidence of investors as shareholders or
and deposit service on self-issued DA to establish a system segregating their clients’ DA from their own assets, and would prohibit them from seeking benefits from the clients’ DA under their custody
from those held in its own capacity and any property in its possession . In cases where the trustee manages several trusts, the trustee shall segregate the trust property of one trust from https
from those held in its own capacity and any property in its possession . In cases where the trustee manages several trusts, the trustee shall segregate the trust property of one trust from https
) entering into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client ’s [pending] order for trading or engaging in a
) entering into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client’s [pending] order for trading or engaging in a
) entering into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client’s [pending] order for trading or engaging in a
ceasing of the Zinc operations, total sales volumes in Q4 2017 dropped by 7% from Q4 2016. The sales volumes of imported metals, at lower margins than the PDI’s own mine production, reached 52% of total
of 10 Baht per share with a number of share 2,579,998 shares. After the transaction complete the Company will own a share proportion 60% of the total outstanding share of BB. Such transaction is an
? assets and using a client's trading account to trade securities for his own interest.Following Apple Wealth's inspection report related to clients? complaints against Sakkarin and the SEC's further