from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his
) “investor contact” means any person who has duties to contact, solicit, advise or prepare a plan of trading or investment in securities for investors, and are divided into two categories: Category A Investor
professional principle. “appraisal company in capital market” means a juristic person having normal business purpose to value any asset and wish to contribute appraisal services for capital market transaction
on derivatives or law on trust for transaction in the capital market; (3) “alleged person” means person against whom the SEC Office, based on its findings, preliminarily considers that [such person
” means a prospectus which is identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading
identical to a draft prospectus filed with the Office; (12) “market maker” means a person appointed by a mutual fund management company to perform duty in managing the trading price of investment units of an
person giving investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product, without planning or analyzing of
continues. Therefore, SEC has filed a criminal complaint against all three persons with ECSD. In this regard, any person affected from such unlicensed activities should call ECD at 0-2237-7535 to provide
account to trade securities for one's own benefits; and (4) facilitating a person to open a securities trading account in the name of other persons to trade securities for the benefit of such person were
on insider trading and market manipulation offenders under Sections 241 and 243 of the Securities and Exchange Act B.E. 2535 (1992). The bounty and gratuity will be paid in the amount up to 30% of the