shares and TFG-W1 by using inside information in separate occasions times. These actions form the basis of two charges against the accused, as detailed below. (1) During the period of 1 March 2559 to 12
) undertaking any other actions necessary for and relevant to the issuance and offering of the newly issued ordinary shares as appropriate under the scope authorized by the shareholders’ meeting; 9. Approved to
such periods of time, there were high demands for FVC stocks and subsequently entering into the trading of such stocks as well. The actions of the 13 persons above were liable to be an offense under
information from SET, which acts as the first-line inspector to detect suspicious trading activities. AMLO then takes over the investigation of financial transactions to facilitate asset-related legal actions
client in an unprofessional manner.The actions of {C}, {D}, {F}, and {G} were deemed performing duties beyond the scope of employment, taking advantage of client by virtue of duties, and using client
2,106,167.05 baht, thereby causing losses to the clients. The misconduct involved the following actions: (1) selling investment units belonging to Client 1 without the client’s instruction and withdrawing the
announced in 2nd quarter this year. Even though the imports into the USA will always be a competitive factor given the large 4 available capacity abroad, such actions place IVL and other domestic producers as
derivatives clearing house. For the purposes of Paragraph 1, derivatives clearing houses shall take at least the following actions: (1) clearly determine roles and responsibilities of the board of directors and
empower the derivatives exchange to take the actions on derivatives trading executed by members for themselves or for their clients: (a) suspend derivatives trading unless such trading is for closing out