Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for selling and buying
AIA Company Limited AIA Company Limited , an intermediary provides services for selling and buying investment units through omnibus account, has to govern the service under the provisions being
the displayed buying and selling prices of order book do not align with the actual market prices, causing the coin prices displayed in the order book was inaccurately. DAB Act S.94 Settlement
Miss Keerarat Viphosupan help Mr. Yinganan to buy and sell SSPF securities by offer money transaction in buying and transfer the money which her receives from selling this securities for Mr. Yinganan
FWD Life Insurance Public Company Limited FWD Life Insurance Public Company Limited, an intermediary provides services for selling and buying investment units through omnibus account, has to govern
) through another person’s securities trading account. The buying was based on material non-public information concerning ESTAR’s net profit at the end of year 2013. The net profit was Baht 148.04 million
Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market
Corporation Public Company Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted
Limited ("NEWS") by separating duties to executing buying or selling orders in a way of concealing and continuing, which caused the trading of such securities contradicted normal market conditions