decisions on the client?s behalf. {A} claimed that the client was too busy to trade securities by himself and gave instruction on credit limits via the conversation in LINE application. {A} notified his
Company Limited (UMI) shares by allowing the accounts for securities trading and bank deposit to be opened in his name and facilitating relevant financial transactions. This case is in the process of
trading volume of The Union Mosaic Industry Public Company Limited (UMI) shares by allowing the accounts for securities trading and bank deposit to be opened in his name and facilitating relevant financial
Mr. Prasong Suviwattanachai Mr. Prasong Suviwattanachai as the owner and beneficiary of 14 securities trading accounts of foreign juristic persons opened at UOB Kay Hian Private Ltd. and EFG Private
opened in his name and facilitating relevant financial transactions. His action was considered a contravention of Section 243(1) in conjunction with Section 244 and 243(2) of the Securties and Exchange Act
monitoring and coordinating with the business operators, we have found that they have implemented their BCP to manage possible impacts of COVID-19 and opened an alternative site or installed remote working
to postpone the acknowledgment and the agreement to pay the civil fine by 30 days (to 3 October 2018), citing a busy schedule. But the SEC did not allow the postponement on the ground that it was
opened with a securities company. For example, having advanced knowledge of which stocks his clients would trade and when, Sanguan ordered to buy the exact same stocks for his relative?s account before