concealment in order to mislead the general public to believe that such securities are purchased or sold in great volume. Plus, they continuously traded MILL shares in order to lure the general public to
in the following foreign securities: - shares, investment units, or derivatives that are traded in countries whose securities regulators or exchanges are members of the International Organization of
of such products as leading foreign stocks and those of Exchange Traded Funds: and 2. Foreign companies? stocks listed on the Stock Exchange, the rules and conditions for which are under the SEC?s
. Besides handling the trading orders of CWT shares for the aforementioned group of persons, Kanokwun traded CWT shares for herself using the trading account of Payut. The complaint alleged that the conduct
misconduct, the evidence showed that all of the CWT shares that were traded through the accounts of the aiders and abettors once combined with those held in Boonchai?s own account and those held by the company
facilitate existing agricultural futures business operators to continually provide services on agricultural commodities futures traded on TFEX. Meanwhile, investor protection will not be compromised and
potential loss. From his conversation with the client recorded, he traded securities for the client several times a day and submitted the selling orders at the prices lower than or equal to the purchase
admitted that the client allowed him to sell the securities in cases of making profit or potential loss. From his conversation with the client recorded, he traded securities for the client several times a
be traded while the clients merely accepted the transactions. For {B} case, it was found that he failed to completely record the client's trading securities orders for a number of transactions; the