executive) who trades company securities or derivatives while material information has not been disclosed publicly engages in insider trading. Likewise, any person who has a close relationship with an insider
were induced to transfer their money to the company's account while the company also obtained benefits from trading fees which are deemed undertaking derivatives business without license in contravention
quality assessment while the capital market has grown both in term of trading volume, a number of listed companies along with the introduction of new financial instruments and complexity of management
{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection
their trading decisions without objection or asking for any information of those securities. In addition, it was found that a client of Onjira asked her to make trading decision on his behalf while Wasana
securities. In addition, it was found that a client of {B} asked her to make trading decision on his behalf while {C} submitted the client's securities trading orders via the internet from the IP address of
implementation with company boards of directors, executives and major shareholders. Institutional investors will be a key driver to promote such implementation, while supervision of financial advisors will be
} and {F}, the SEC suspended them for one month while publicly disclosed {G}'s inappropriate behavior with the record of her demerit for future reference if breach of duty is found. {C} case was the
were effective as from October 5, 2013. {A} and {B} were banned from holding any securities company management position while approval for investment consultant of {C}, {D}, {E}, {F}, and {G} were
trading income decreased amounting of 31.29 Million Baht, accounting for 4.04% from the previous year as the volume sold decreased 6.28% from last year, while average selling price increased 2.39%. However