SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the
EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH
be property fund manager requests for the letter showing the result of the renewal application referred in the second paragraph, such person shall submit the request form as prescribed in the Office’s
renewal to be listed in the register of person qualified to be property fund manager requests for the letter showing the result of the renewal application referred in the second paragraph, such person shall
clients showed trading transactions made on a continual basis and in high volume but the source of orders was not found. Besides, {A} persuaded the clients to trade securities where he was the one
executed trading orders through the aforesaid trading accounts. {A} had denied all the accusations without adduced counter evidences. Later, she agreed to enter the settlement procedure and made the fine
personnel for 10 years. (2) {B} , an investor contact of KTB Securities Co., Ltd., aided other persons in sending trading orders of TRAF shares in a manipulative manner. She was fined for her assistance in
inside information related to trading orders of securities of fund which was managed by himself and disclosed such information to Miss Monsicha, in which, Miss Monsicha placed trading orders of securities
activities included (1) driving the TKT stock price upward and (2) obstructing others' purchase orders by by placing orders at multiple price levels, consequently misleading the public regarding the price