manager, failed to supervise his subordinates ({B}, {C} and {E}) in performing their duties causing the aforesaid wrongdoings in violation of law on securities and exchange and relevant rules; classified as
authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer
). With the referral from the Stock Exchange of Thailand on irregular trading of UNIQ shares as a result of trading orders sent via two overseas omnibus accounts causing the changes of UNIQ share price and
traded in great volume or that such share price was changed, causing the trading of such shares to be inconsistent with the normal market condition to lure the public into the trading; and (2) From
delayed repayment of overdue debts to financial institutions, causing the company to be under debenture default condition. The amount of debts expected to be overdue by the end of June 2017 is approximately
business thoroughly, causing incomplete disclosure in the filing concerning risk factors, conflict of interests, and trade mark.Akekajak?s actions were considered as failure to comply with the SEC Office
investing public to purchase or sell MILL shares, causing the share price to be inconsistent with the normal market condition. The scheme caused a 64.63 percent increase of MILL share?s closing price as the