clearly, thoroughly and obviously; (2)3 determining organization structure, roles, authority and responsibility of directors, executives and other personnel of the intermediary clearly. (3) having

be long-term equity funds (LTF), retirement mutual funds (RMF) or exchange traded funds (ETF);- Redemption of investment units can be paid by securities and other assets in lieu of cash.The

, had traded KARAT shares by using inside information before it was publicly disclosed on July 3, 2002. DSI later referred the case to public prosecutor who issued a prosecution order against Apichart

Linkage. ?The Ministry of Finance has recently issued ministerial regulation on exemption of capital gain tax from selling of securities listed on exchanges in ASEAN members and traded through SET trading

ก.ล.ต. ประสานงานธนาคารแห่งประเทศไทย (ธปท.) ขอให้อนุญาตให้บริษัทหลักทรัพย์สามารถนำผู้ลงทุนรายย่อยไปลงทุนในตราสารอนุพันธ์ที่ซื้อขายในศูนย์ซื้อขายสัญญาซื้อขายล่วงหน้า (exchange traded derivatives) ใน

that {B} had traded the client's securities without client's order. By admitting that trading decisions (30 percent of the transactions) were made before notifying the client, his action was therefore

? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders

traded {X1} Company shares in such a way that taking advantage of others by using non-public information material to {X1} Company share price which was {X1} Company's 315.79 million operating net loss in

List calculation date is July 10, 2015. The SEC and the SET have cooperated closely in monitoring securities traded with high turnover ratio where the SET functions as a front-line regulator to

traded on the SET, was in violation of Section 239 and liable to the penalites under Section 296 of the Securities and Exchange Act of 1992. He was imposed a criminal fine of 500,000 baht