has taken into account the public and stakeholders? comments and suggestions from the consultation on the governing principles conducted in last August. Notable changes were made to the level of ongoing
permissible for accredited investors (AI) in preparation for the Capital Account Liberalization Plan of the Bank of Thailand (BOT) to allow retail investors to make overseas investment directly. Additional
and his client showed that he had used the client's account to trade securities for himself.{A}'s actions were deemed the violation of Clauses 20(1) and (3) of the Notification of Capital Market
SEC?s probe found that during April 23 ? May 14, 2012, Sermkhun had purchased CMO shares through his securities trading account by using non-public information material to CMO share price concerning CMO
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
from Krungsri Securities PLC., the SEC probed into the case and found that Atthapol submitted trading orders for the client?s securities trading account through IP address of Krungsri Securities during
another person's trading account and arranging financial matter for such investor. As the employer has already put her on a three-month suspension, the SEC is suspending her for the remaining three months
Assurance Public Company Limited (BLA), sold 800,000 shares of BLA through his the securities trading account and then during July 25, 2014 - August 1 2014, Mr. Choedchu Sophonpanich, director and proxy for
Company Limited ("TOG"), purchased TOG shares through Miss Malita Limlomwongse's securities trading account. In the purchase of TOG shares, he utilized the inside information accessed by the