(UKEM) through seven securities trading accounts in concealment, on a continual basis and matched orders within the group to mislead the general public in UKEM share trading values and volumes, causing
(especially China), causing The competition is very high in term of price while the economy is in recession and the company is still losing money from the exchange rate compared to the US dollar (the company's
series of trading orders at proximate amount, price and time, causing the price of such shares to change inconsistently with the normal market condition. Besides, sale orders for DTCI shares at different
not lose the money if making investment decision on the advice. Furthermore, {A} failed to immediately submit orders to close out derivatives positions as directed by the client, causing the client to
SEC has proposed additional risk management tools that asset management companies are able to select and use when dealing with events or factors causing investors to panic-sell or redeem their
, is transparent with professionalism in management, causing companies to be better-known and accepted by the public creating incentives for interest in investments from businesses within the country
from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
). 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