securities; (8) a company whose securities are traded in a securities trading center; (9) a trust under the Law on Trust for Transactions in the Capital Market. Clause 4 This Notification shall not apply in

trading. The aforesaid actions of Shine were in contravention of Sections 243(1), (2) and 244 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Section 83 of the Penal Code

normal market conditions. The offenders (13) and (14), in their capacity as investment consultant, rendered assistance with the execution of the trading orders, which occurred in three different time

. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product

Digital Asset Business Registered Person Secondary Market and Related Entities Enforcement Class Action Prevention of Unfair Securities Trading Practices Discussion Rule Making Process Handbooks / Best

, servicing person or any person; 3. having a trading account of and investing in capital market products belonging to directors, executives and other personnel, in order that the intermediary able to pursue

trading activities of ABC shares were inconsistent with normal market conditions. As a result, the closing price jumped from 2.38 baht to 7.80 baht and the daily trading volume significantly increased from

caused the TIGER stock price to be inconsistent with normal market conditions with the price rising from 3.50 baht/stock to 4.50 baht/stock and the average daily trading volume increasing from

representative in Thailand Information as of XX XX XXXX Name of the ARFP Fund Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation Investment policy and

local representative in Thailand Information as of XX XX XXXX Name of the ASEAN CIS Unit Class SRI Fund Class code Type of mutual fund Risk Level Low 1 2 3 4 5 6 7 8 High Risk Profile Explanation