Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
SEC together with FETCO share a common view to enhance FETCO position to “The Capital Market Federation of Thailand” which would have legal status as a “juristic person” like other federations in
According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been continuously trading PICO’s shares in his four securities trading accounts, that is, he submitted trading orders in a manner to drive up the share price by submitting a large number of trading orders. As a result, the price and trading volume of PICO’s shares were not in a normal market conditio...
) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses
: The SET shall comply with the regulatory objectives and the operating rules of securities exchange. In issuing, revising or modifying its rules and regulations, the SET must conduct a hearing session
are allowed to also inform the SEC of the names of foreign business operators instead of only the names of the foreign personnel as previously required; 2. Modifying the requirements for notifying the
known that such person would use such information for placing, modifying or cancelling trading orders of securities or derivatives related to such securities before the execution of the client’s order is
know or ought to know that such other person would rely on such information in placing, modifying or cancelling any order for purchase or sale of digital assets or derivatives related to such digital
placing, modifying or cancelling any order for purchase or sale of digital assets or derivatives related to such digital assets before the order of such client is completely executed. Section 46. No person