. “advertisement” means an action which makes publicly known about information of [i] intermediary’s businesses or services, [ii] capital market products or [iii] selling capital market products by using regardless
Bangkok, February 17, 2011 ? The Settlement Committee imposed a total fine of 1,185,785.60 baht on Chutchapong Munchupa, former executive of Solution Corner (1998) Plc. (SLC) for using undisclosed
shares and TFG-W1 by using inside information in separate occasions times. These actions form the basis of two charges against the accused, as detailed below. (1) During the period of 1 March 2559 to 12
funding through capital market’s fundraising mechanisms and tools. To support liquidity of businesses affected by the COVID-19 pandemic who wish to raise fund using REIT buy-back, the SEC has considered
Miss Sarunya Khemtong Allow Mr. Yinganan to use her account for buy SSPF securities by using his money to purchase . After selling , she transfers money for Mr. Yinganan's profit 12/05/2017
using material non- public information for Mr.Suwat's profit. 12/06/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
Mrs.Chanyarat Sangtong Between 20 August, 2015 to 11 December, 2015, Mrs.Chanyarat Sangtong who involved in the UOB Freehold Eight Thonglor property fund (“UOB8TF”) bought UOB8TF Units by using
advertising, soliciting and using website http://www.qb-corp.com without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions