orders continuously with the intention to cause the share prices or trading volumes to be inconsistent with normal market conditions. Their actions were liable to be offenses under Section 244/3(1)(2) of
caused the TIGER stock price to be inconsistent with normal market conditions with the price rising from 3.50 baht/stock to 4.50 baht/stock and the average daily trading volume increasing from
price to be inconsistent with normal market conditions with the price rising from 3.50 baht/stock to 4.50 baht/stock and the average daily trading volume increasing from approximately 5.11 million stocks
investment consultant to take the said action. This led to an incomplete client analysis and inappropriate investment inconsistent with the client's demand and acceptable risk level. The SEC has suspended {E
submitted as a single order causing the price and trading volume of UNIQ shares to be inconsistent with normal market conditions. The UNIQ closing price increased over 3.8 times and average daily trading
Section 97 Securities and Exchange Act B.E. 2535 Section 97. A securities company shall maintain capital adequacy in accordance with the rules, conditions and procedures as specified by the SEC.
Section 114 Securities and Exchange Act B.E. 2535 Section 114. In operating the business of securities dealing, a securities company shall comply with the rules, conditions and procedures as
Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of