director of UVAN, knew inside information about the significant increase of company’s profits in the fourth quarter of 2017. She, then, bought UVAN shares during 27 December 2017 - 22 February 2018 in the
, Pongsachalerm and Chaiwat?s actions were deemed using inside information to gain unfair benefits over other persons in contravention of Section 241 of the Securities and Exchange Act of 1992 and thus liable to
in benefits from trading of KARAT shares. Apichart?s actions were deemed using inside information to gain unfair benefits over other persons in contravention of Section 241 of the Securities and
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this
client or beneficial owner. In case the client refused to give personal information or the information are substantially insufficient or not current, or there is https://publish.sec.or.th/nrs/6086pe.doc บท
maintain net capital in compliance with the governing law and its inappropriate and insufficient management structure and personnel, Zipmex may be liable to offenses related to client assets, which may
considered insufficient by, for example, seeking a written clarification or holding meetings with independent directors or the audit committee; Principle 5: Institutional investors should have a clear policy
poverty, consumerism, and ignorance. Poverty has long been one of the most important issues policy makers strive to overcome. When there is insufficient wealth to nourish basic needs, indebtedness could
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
; (6) “inside information” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired during the course of