exposed to any market risk and gained profits from every transaction they entered into in connection thereof. For the sale side, Numkrit sold the securities owned by UBS?s clients to his conspirators at the

characteristics of director and executive of a publicly held company. This caused the termination of their directorship and executive position by the provision of the SEA. In any case, the filing of a criminal

explanation from the company directors in order to make a prudent decision on their voting. The SEC requires that any material acquisition and disposal of assets subject to the shareholders? approval must have

listed company has not yet disclosed non-public information material to the change of securities price, any directors having accessed to such information must refrain themselves from trading the company?s

types of complex products.The relaxation would allow mutual funds offered to accredited investors to invest in any types of financial instruments without company limit ratio, which has already been the

), which could subsequently cause irregular trading after the securities listing.     The proposed key changes concerning IPO share allocation are: 1. To redefine the term, ?patron? as any person who makes

definitions of ultra high net worth investors (UHNW);(2) relaxation of ratio and product limits for mutual funds which are offered to institutional investors and UHNW whereby investment in any type of financial

successful performance of any trigger fund may proceed only after accurate and complete information on all of the trigger funds under management is clearly disclosed for investors? comparison and decision

the mediation but the SEC will remain facilitating negotiation between securities and derivatives companies and clients. The procedure for handling any objections filed by securities and derivatives

take precaution in trading securities with a high Price to Earnings (P/E) ratio or securities under cash balance rule, as well as to provide relevant risk information. If any securities companies fail to