then asked the client to transfer the subscription money into her own banking account without actually using the money to buy such shares for the client; (2) In July 2017, Nutnicha borrowed shares of
own address and to submit capital reduction order for the client?s private fund. With the capital reduction payment, Thanjira bought investment units for the second client and Surasak. Moreover, she
business operator who performs safekeeping of clients’ digital assets to function as a digital asset wallet provider and provide service to own clients or clients who open wallet with other digital asset
nonetheless achieve the objectives laid out in the IOSCO CRA Code and the IOSCO CRA Principles. This will permit market participants to draw their own conclusions about whether the CRA has implemented the IOSCO
effectively. They should operate robust policies to deal with inside information and to avoid market manipulation. 3.5 Appropriate remuneration structures Institutional investors’ pay structures should
other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification
attend the shareholders? meetings and exercise their voting right to protect their own interest.?The following information provided in the prospectus shuould be taken into serious consideraton, namely (1
-price matching for the trading activities within their own group. Such transactions misled other investors into believing that TAPAC shares were traded in high volume and its price was changed. As a
own low risk exposure. In addition, such requirement may be inconsistent with the business types or the business risks of intermediaries, and may not support the development of new businesses that make