? futures trading orders through an account linked to him at another broker for his personal gain.  This caused financial damages to his clients. His actions were in violation of Sections 145(3) and (4) of

? Engineering, had sold 5,950,000 EMC shares and 8,900,000 units of warrants to purchase EMC shares (EMC-W3) in his ex-wife trading account. The selling was based on non-public information concerning the

).Following a referral from the Stock Exchange of Thailand, the SEC?s further investigation has revealed that Somchai colluded or agreed with Chaninan Luangwaykin to use his own securities trading account or

taken into account the important role of PF and DF marketing agents in soliciting investors to use investment management services of such funds. They cover key areas such as (1) the criteria for granting

.  Such information includes cash account, purchases and sales transactions in cash, executive remuneration, tax penalty, and accounts receivable previously recorded as stock under consignment in 2011 and

outstanding balance in the derivatives account.  In this regard, the aforesaid {A}'s actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re

for a period of two months. Taking into account that he has already been suspended by his employer for one month and fifteen days, the suspension imposed by the SEC shall  be fifteen days, effective

financial statements. Such information included cash account, purchases and sales transactions in cash, executive remuneration, tax penalty, and accounts receivable previously recorded as stock under

lead to economic expansion and development of the country.Taking into account the balance between regulatory burdens and investor protection, the proposed supervisory framework covers supervision on

ผู้ลงทุนในรูปแบบบัญชีไม่เปิดเผยชื่อ (omnibus account) นอกจากนี้ ได้เพิ่มมาตรการให้ ก.ล.ต.  ดำเนินการหากพบว่ามีการใช้ ASEAN CIS ไทยเพื่อแสวงหาประโยชน์จากการลงทุนของบุคคลหรือกลุ่มบุคคลเดียวกันเป็นการเฉพาะ