result, the price and trading volume of PICO’s shares were not in a normal market condition, and investors in general were misled to understand that a large number of investors were interested in buying

Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for selling and buying

upon the date when the offenders affix their signature on the letter of consent to comply with the civil sanctions determined by the Civil Sanction Committee. If any of them declines to give consent

the civil sanctions determined by the Civil Sanction Committee. If any of them declines to give consent for the civil sanctions, the SEC will notify the public prosecutor in writing for filing the case

offering price is not determined yet. 6/ Total Assets of UAC from audited consolidated financial statement as of 31 December 2017 4. Details of assets being disposed 4.1 IPO of UAPC Issuer 1. UAPC newly

AIA Company Limited AIA Company Limited , an intermediary provides services for selling and buying investment units through omnibus account, has to govern the service under the provisions being

the displayed buying and selling prices of order book do not align with the actual market prices, causing the coin prices displayed in the order book was inaccurately. DAB Act S.94 Settlement

FWD Life Insurance Public Company Limited FWD Life Insurance Public Company Limited, an intermediary provides services for selling and buying investment units through omnibus account, has to govern

Management Co., Ltd., and Surasak Sakrittiron. Following the report from Tisco Asset Management Co., Ltd., the SEC probed into the case and found that Thanjira submitted the documents of buying/selling orders

) through another person’s securities trading account. The buying was based on material non-public information concerning ESTAR’s net profit at the end of year 2013. The net profit was Baht 148.04 million