Mr. Thitipat Thitiphan Mr. Thitipat Thitiphan joined or agreed with other offenders in manipulating 2 securities by separating duties to executing buying or selling orders in a way of concealing and
Mr. Teerachai Rattanakamolporn Mr. Teerachai Rattanakamolporn joined or agreed with other offenders in manipulating 2 securities by separating duties to executing buying or selling orders in a way of
buying PTL shares using inside information. 16/05/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows : - a civil monetary
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr. Krittiphat, Mr. Sunchai , Mr. Teerasit and Mr
KC Board of Directors, assisted in executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr
added Civil Sanction measures to the Securities and Exchange Act, and added more provisions on presumptive facts to reduce the burden of proof for certain offenses to expedite the law enforcement process
3. Buying/ selling process of investment products • Describe the features of available channels for buying and selling investment products. • Identify the roles and responsibilities of the financial
, the most common of which relate to policy and legal actions, technology changes, market responses, and reputational considerations. Commodities: involves buying, selling, or trading a raw product, such
observations where an individual change their behavior when certain stimuli are applied. Behavioral research in Finance rests on this assumption that external stimuli will cause individuals, which are otherwise