liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to

investment decision carefully. For example, Notice Pending (NP) in case of awaiting material information, or Caution (C) in case a listed company has the characteristics as prescribed in the governing

required to disclose information of the fund with material information equivalent to that disclosed by Thai funds to their unitholders. Also, the Hong Kong fund must prepare the factsheet in the format

example, an IPO to cornerstone investors must not contain any agreement or contract that would render material benefits specifically to cornerstone investors for the disadvantage of other subscribers. This

partial investment, granting the right of objection on material issues to REIT, having guidelines to resolve conflicts between REIT and investment partners, and providing a statement of opinions on

Investment & Trust Public company Limited (BFIT) at a higher price than the market price at the time.The aforesaid nonpublic information was material to the change of BSEC share price because BFIT was the

revenue sharing at 35 percent of the project value or approximately 1,120 million baht. This information was thus material to positive change in the SOLAR share price. The SEC considered that Sunthorn

company?s business which was deemed as material information for investors? decision-making. He also failed to review the information on compensation paid to two directors of issuing company, resulting in

the fact that major shareholders and executives were to sell SLC shares with the intention to mislead any person concerning such information which was material to the SLC share price, even though he had

the fact that major shareholders and executives were to sell SLC shares with the intention to mislead any person concerning such information which was material to the SLC share price, even though he had