imposed on an offender for these following offenses under SEA: (1) committing unfair practice regarding securities trading (e.g. market manipulation and insider trading); (2) presenting a false statement or
six months. After the client fell for the solicitaion and transferred in the money, Pisist recorded false information in the company's documents by identifying the transferred money as his older
committing or permitting another to act so as to falsify the accounts of GSTEL and GLS by making false entries concerning the purchase of raw materials from overseas suppliers materially lower than the actual
. For example, dessimination of false statements via social media that may affect securities price movements could be subject to a class action should several investors suffering damage from the said
statements to materially contain false information and raised doubts concerning the internal control system, spending of B/E money, and the making of accounting records.The SEC has therefore issued the order
at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false
. Based upon these evidences, the SEC believed that Shine, Pataman and Supichaya had colluded to defraud other investors by making false appearance about trading in SLC shares using trading accounts and
issuance in the fourth quarter of 2015 did not appear in the company’s financial statements. Such circumstance caused KC financial statements to materially contain false information and raised doubts
) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section