extraordinary general meeting no. 1/2013 on May 30, 2013. Nevertheless, the company?s independent financial advisor (IFA) recommends the shareholders not approve this transaction, reasoning that it is not
bond issuance, the instrument can contribute to the development of the real sector and the financial market. It also helps SMEs to capitalize on diverse business opportunities when the AEC takes off
decision, for example, maturity date, type of fund, investment policy, risk factors and performance. For advertisement on group of mutual funds where it is not practical to provide all significant
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
shares of which accounted for his trading. It was 87.11% increase in SSI total trading volume. After he stopped trading, SSI trading volume dropped to 48.85 million shares.His actions caused SSI share
a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner
Supervisory Board No. TorThor/Nor/Khor. 37/2553 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. It was in violation of Clauses 23(2) and the prohibited characteristics of the
imposed fines on the aiders. (Details in the SEC News Release No.79/2010 and 91/2010). ?Share price manipulation is unfair trading. It damages confidence of investors and all stakeholders in the capital
will help business operators realize that issuing shares, debentures, or other types of fundraising through the capital market is not too complicated or costly. Rather, it will be alternative fundraising
ราย {ก} ไม่บันทึกการรับคำสั่งซื้อขายหลักทรัพย์ของลูกค้ารายหนึ่งจำนวนหลายรายการ และตรวจพบจากกระดาษ post-it ที่ {ก} จัดทำไว้เองว่า {ก} จัดทำรายงานการส่งคำสั่งซื้อขายหลักทรัพย์ของลูกค้า (ใบ F8) ที่ใช้