lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A} traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took
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
financial statements and effective information technology. This will enable them to operate their business effectively, determine business strategy in a timely manner and become a publicly traded company
decisions for them. From October 2012 to March 2013, he made trading decisions on behalf of the clients on a continuous basis with more than 300 million baht in trading value. Moreover, he traded for the
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
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
agreed to or colluded with five other persons to use several trading accounts to trade YCI shares in concealment and on a continuous basis to mislead the public into believing that YCI shares were traded
criteria are relatively more relaxed, and the expenses do not cause excessive burdens on the issuers. Companies capable of complying with the regulations may choose to be listed and traded on BdL or
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