the IOSCO within 7 June 2019. The discussion between the IOSCO and the SEC took place at Hilton Hotel in Sydney, Australia during the IOSCO Annual Conference, hosted by the Australian Securities

, government agencies, and large private companies to deceive people into investing, causing significant financial losses. The press conference took place at the Royal Thai Police, on 23 August 2023.

. This revision came as a result of the earlier round of public comments, taking place last month, on its guiding principle for setting the licensing fees.  In proposing the rule changes, the SEC took into

found that {A} did not record a number for securities trading orders submitted for a number of clients. {A} admitted that he took trading orders via mobile phone.Failure to keep complete record of the

evidenced by large amount of related transactions. She then admitted that she took the client's trading orders via mobile phone.The aforesaid actions are in violation of Clause 20(3) of the Notification of

report from Phatra Securities Plc. that {A} failed to record many securities trading orders of his clients. {A} admitted that he took such trading orders via mobile phone.Failure to record client's

Limited (“TIES”), through securities trading account of Miss Ornsiree Chinkamtornwong. The sales were made in such a way that took advantage of others by using non-public information material to TIES share

Engineering Service Public Company Limited (“TIES”), through securities trading account of Miss Ornsiree. The sales were made in such a way that took advantage of others by using non-public information material

18/12/2009 company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of

account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12