? futures trading orders through an account linked to him at another broker for his personal gain. This caused financial damages to his clients. His actions were in violation of Sections 145(3) and (4) of
appropriate investor protection. “Through this conference, we can expect to see stronger cooperation among regional regulators, sharing of knowledge, views, technical expertise and other experiences
-sized businesses still need to look for opportunities to access funding channels to keep their businesses running and supports to get them through the crisis. Since today’s ever advancing digital
the Department of Social Development and Welfare Building. On this occasion, the SEC also participated in the event, organizing various edutainment activities for the youngsters. Three highlights are (1
agents. Without obtaining derivatives license from or being registered with the SEC, they advertised through various media channels including Facebook and solicited investing public to invest in gold in
instructed Kanchana, an ex-ZMICO Senior Vice President, to acquire 172,400 shares of such listed company at 5.30-8.50 baht per share, on the Stock Exchange of Thailand through securities trading account of
TYM shares continuously through 9 securities trading accounts. They traded TYM shares in the manner that concealing, inflating and stabilizing the share price and matching orders within the group which
or conspired with nine other persons to manipulate the price and trading volume of UMI shares by trading such shares continuously in concealment through several trading accounts to the point where the
during July 21st August 20, 2008, the SEC probed into the case and found that {A} {B} {C} five other accomplices, and another unknown person had colluded to trade UKEM shares through seven persons
futures trading agents. They advertised and solicited investing public to open gold futures trading account and make the trading transactions through website www.fortunebullion.com without obtaining license