but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH
(JAS), by give a consent Mr. Pete in using his securities trading account to purchase Jasmine Telecom Systems Public Company Limited (JTS) shares by utilizing the inside information about The Q3/2016
misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed
prices of any securities will increase or decrease and WHA did not notify such negotiation to the Stock Exchange of Thailand. SEC Act S.239 Settlement Committee Meeting No. 2/2016 Settlement Committee
Asia Corporation Public Company Limited (“MLINK”), disclosed false statement by denying the news about MLINK’s capital increase to the Stock Exchange of Thailand with the intention to mislead the public
share price including matching orders among those accounts. The actions resulted in increase in the UNIQ closing price and average daily trading volume. These were done in concealment to mislead and
inside information concerning an increase of the net profit of Q3/2019. Subsequently, on 15 October 2019 to 4 November 2019, Miss Tongjai purchased 248,500 of HFT shares in such a way as to take advantage