A-1 CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING AGENCIES THE BOARD OF THE INTERNATIONAL ORGANIZATION OF SECURITIES COMMISSIONS REVISED MARCH 2015 A-2 CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING
securities company as an investment consultant), jointly manipulated the TAPAC share price by executing trading orders of such share in such a manner that stimulated the share's movements, and arranging low
} and an unknown person, for manipulating share price of Union Petrochemical Plc. (UKEM).With the referral from the Stock Exchange of Thailand on irregular trading in UKEM shares by a group of persons
securities trading account on 4 March 2016 and 18 April 2016, and proceeded to purchase PERM shares in other securities trading accounts, as follow: - Miss Natthaporn Yongwongpaiboon's account on 5
information about an increase of the net profit of PERM in the 1st quarter of 2016 and the 3rd quarter of 2016 by virtue of her position. Subsequently, she purchased PERM shares through her securities trading
based on reasonable evidence indicating that the said persons agreed or conspired with former executives of a securities company in using their own trading accounts or other persons? to manipulate the
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