manners. For example, sending buy or sell orders for securities, or buying or selling securities in a manner that pushed the prices upward, placing bid offers in a way that obstructed others from placing
following manners: (1) funneling damage incurred from investment among the clients of private funds by making cross-trade transactions of shares under trading suspension (SP) sign on a
different manners to manipulate the KIAT shares. In this regard, Nam, Suppawut, Sani and Yos took on the role of trading KIAT shares to cause the share price to increase inconsistently with the normal market
investigation, Sakkarin was found to have acted in the following manners: (1) Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio
) ………………………………………………………………………………………………………………………………………………….… ………………………………………………………………………………………………………………………………………………….… Wish to express an intention to apply for an SEC Account from the SEC Office in the following manners: Not an urgent application (normal case) An urgent application (a seven-day expiry from the SEC
following manners is not deemed as undertaking derivatives business in the category of derivatives advisory services: (1) giving advice in or from the Kingdom of Thailand to not more than fifteen investors
of the Securities and Exchange Commission. Clause 2. Giving advice in the following manners is not deemed as undertaking derivatives business in the category of derivatives advisory services: (1
the Office of the Securities and Exchange Commission. Clause 2. Giving advice in the following manners is not deemed as undertaking derivatives business in the category of derivatives advisory services
the date of the case is deemed final. Clause 3 A securities company shall proceed with a customer complaint in the following manners: (1) proceed to solve the problem described in the complaint rapidly