client. Comments and suggestions on the matter are welcome until March 30, 2012. The proposed regulation will require underwriter know individual client before selling client any product. For retail client
expansion of the scopes of work of derivatives investor contact type B (limited to gold futures) and selling agents of gold futures brokers to cover provision of services relevant to the said precious metals. # # #
? trading accounts to trade TRAF shares in concealment and on a continual basis to mislead and induce the general public into buying and selling such shares. The act of Lalana was considered contravention of
Pattana Company Limited, a related person to GOLD and UV at 980 million baht, boards of directors, audit committees and financial advisors of GOLD and UV opined that the selling price was appropriate and
had to settle the purchase order before regular settlement period in order to avoid force selling. This action was considered that Wiroj failed to inform sufficient information by concealing important
purchase order before regular settlement period in order to avoid force selling. This action was considered that {A} failed to inform sufficient information by concealing important information that might
securities trading account of another person for her own or others? benefits in such a way that taking advantage of others. The selling was made by using material non-public information concerning a 129.83
course of business. As a matter of fact such revenues were classified as other incomes from acting as agent for selling of goods and rendering services. The revenues were not generated from the actual
? Engineering, had sold 5,950,000 EMC shares and 8,900,000 units of warrants to purchase EMC shares (EMC-W3) in his ex-wife trading account. The selling was based on non-public information concerning the
?Bangkok, December 11, 2012 ? The SEC is seeking public comment on draft regulations? governing advertisements and marketing campaigns for selling all financial products, particularly mutual funds of