manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
trade securities in the client's account without permission in order to achieve better performance. {A}'s actions are in violation of Clause 20(1) and 20(2) of the Notification of Capital Market
securities trading account to trade securities for others and accepting authorization to make securities trading decision on behalf of client, in violation of Clause 20(1) and (2) of the Notification of
securities trading orders from persons being neither account owner nor account owner's appointee; and failing to keep a complete record of trade order instructions; in violation of Clause 20(2) and (3) of the
indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries. The acts of {A} and {B
based on the company positive non-public information material to {X1} share price. It was the information on merger of {X1} with {X2} Plc. by means of entire business transfer during 2010-2011. The merger
returns of investments. For example, when past performance is disclosed for advertising purposes, business operators must not selectively present only periods with favorable returns. Disclosure of past
Mr. Sarath Teganjanavanich During the period of 9 to 16 October 2015 and 12 to 26 April 2016, Mr. Sarath Teganjanavanich, Vice President of Business Planning and Finance of Thai Optical Group Public
Miss Malita Limlomwongse During the period of 9 to 16 October 2015 and 12 to 26 April 2016, Mr. Sarath Teganjanavanich, Vice President of Business Planning and Finance of Thai Optical Group Public
1 Translation CEN 031-2018 August 14, 2018 Subject : Management Discussion and Analysis for business operation of Quarter 2-2018 To : The Manager and President The Stock Exchange of Thailand Business