listed companies have sold or planned to sell their assets to mutual funds or REITs. The transactions are usually huge in size and value and some of them allow listed companies or subsidiaries to lease
several days. When the client ordered to sell the securities actually sold by {A}, he instead sent the selling order for other securities of the client. {A} admitted that job stress caused him to decide to
subscribe its subsidiary?s capital increase shares, it turned out that the purchaser, just about six months later, sold a listed company Million Miles shares at the price very much higher than the
this case, the SEC?s probe found that Yongyuth and Vorapin had sold TUCC shares in such a way that taking advantage of others by using non-public information material to TUCC share price. They learnt of
concerning 2012 interim dividend payment and warrants to purchase CMO ordinary shares to be issued and allocated to existing shareholders for free. Following public disclosure of such information, he sold all
were all sold out during low price period. The said actions were in violation of Section 311 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) in conjunction with Section 83 of the Penal Code
trigger for a mandatory tender offer of the total NMG shares sold. In so doing, they failed to report their acquisitions, and did not make the tender offer for NMG takeover.As a result, their actions were
inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the
unlicensed broker-dealer securities business under the names of Benson Dupont Capital Management and Morgan Pacific, which sold shares of five listed companies in the U.S. to investors benefitting from trading
the transfer of such securities to the account; but found out that such securities were all transferred and sold by such client. {A} then asked other two friends, who were clients of other securities