failure to record the client's securities trading orders. They were RHB OSK Securities (Thailand) Plc. (OSK Securities) employees.From a routine inspection of RHB OSK Securities (Thailand) Plc, the SEC
orders from such person who was not the account owner or an authorized person without advising the account owner to assign authority properly according to governing regulations, and calling the other
client and {A} indicated that the client may have entrusted {A} to make decisions on securities and derivatives trading for the client whose trading orders were unclear, and that {A} had made trading
According to the referral from the Stock Exchange of Thailand (SET) in October 2023 and the SEC’s further investigation, it was found that Patcharadanai had placed trading orders in manipulative
informed of derivatives price ranges in advance and when the prices moved within the ranges, {A} then executed trading orders. She sometimes sent trading orders and informed the client afterwards. {A
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
Office operation ( 6 record(s) found) No. Report Name Data File As of Data Definition 1 Actions against related party transactions and acquisition and disposal of assets 2022 2 Rectification orders
by continuously placing orders to buy and sell KDH shares in a manner that pushed the price upward. They placed large-volume orders at multiple price levels, including aggressive buy orders and sell
November – 28 December 2018. Atthavut and Sujeera colluded to send trading orders of TIGER stocks in manners of manipulating the closing price, executing bid orders to heighten the price, dominating bid
November – 28 December 2018. Atthavut and Sujeera colluded to send trading orders of TIGER stocks in manners of manipulating the closing price, executing bid orders to heighten the price, dominating bid and