partial investment. Sakkarin then tricked the client into believing that he would join the investment and leave the purchased shares in the client's account. The client therefore transferred money to
Alert list. The application is easy and swift to navigate on the phone screen. One must only type in a name, to know whether it is approved, licensed, qualified, or registered under the supervision of
to consultation papers and more convenient participation in the hearing process. The website is accessible via multiple devices such as desktop, tablet and mobile phone, to fit the users
) to (4) had purchased MAKRO shares based on non-public information material to the price of MAKRO shares. The findings revealed records of purchase transactions in the trading accounts of the four
SEC?s probe found that during April 23 ? May 14, 2012, Sermkhun had purchased CMO shares through his securities trading account by using non-public information material to CMO share price concerning CMO
submitting orders via mobile phone before re-submitting the orders via the phone recorder in order to make up the evidence that the client had made her own trading decision. The investigation found that {A
misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the
number of money transfers through the client's ATS saving account to pay for the purchased securities. Moreover, {A} sold the client's securities and use the money for setting-off the payment for the
money transfers through the client?s ATS saving account to pay for the purchased securities. Moreover, {A} sold the client?s securities and use the money for setting-off the payment for the securities
the client of FIFO criteria applied by the Revenue Department. Accordingly, instead of the LTF investment units purchased in 2013, the selling order resulted in deduction of the units purchased two