securities trading account. This constitutes an offense of purchasing securities as a person who knows or possesses inside information under Section 242(1), in conjunction with Section 244(2) and (5), and is
Following a referral from the Stock Exchange of Thailand (SET) in 2022 and the SEC’s further investigation, the uncovered facts and evidence led to the belief that Mr. Pongsak Lothongkam, who at the time of the incident was a major shareholder with more than 50% ownership and served as an advisor to SVI, was responsible for setting business strategies and attended important meetings of SVI. He was a person who knew or possessed insider information regarding SVI’s performance in the third quarter...
were liable to be offenses related to insider trading that caused the rise of the CHG share price. The inside information that Dr. Kumpol became aware of or possessed was CHG’s operating results for
) prohibit securities trading on SET or securities trading center and entering into derivatives contracts on the Derivatives Exchange for the maximum duration as allowed by law
assessment or prediction of loss at a significant amount in the operating results for the year 2017. Based on the inside information, Woraphant sold 1,121,000 of his STEC shares in the securities trading
manager of UOB, knew in advance that UOB was preparing for the sale of the UOB8TF assets and prohibiting all employees from trading units of the fund. Taking advantage of the said fact, he used the
แผน Portfolio Advisory และ Program Trading ได้ โดยไม่ถือเป็นการประกอบธุรกิจหลักทรัพย์ประเภทจัดการกองทุนส่วนบุคคล หรือผู้จัดการเงินทุนสัญญาซื้อขายล่วงหน้าตามลำดับ ซึ่งหลักเกณฑ์ดังกล่าว มีผลใช้บังคับ
exchange with an exception for a SET permission.Therefore, SEC intends to revise the regulations on listed securities trading services outside the stock exchange for proper supervision and in accordance
total amount of 1,286,700 shares using securities trading accounts of Amornrat and Walailuk before UVAN reported the financial statements of the fourth quarter 2017 to SET on 23 February 2018. As a
According to referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during January - February 2017 Apichart Sukjirawat, Assistant Managing Director in charge of Accounting and Finance of ICHI, knew the inside information related to ICHI's financial statement year 2016, which would show a decline in the net earnings resulting from net operating loss in the fourth quarter of 2016. Apichart then sold 3,529,800 ICHI shares in his account during 1...