prices were within the range which the client previously expressed interest in. She thought that the shares could be sold to take profit in the similar manner as the client's purchase made in the morning
underwriting of TAKUNI and CCN securities, used nominee accounts to subscribe and receive allocated shares for patrons of such companies.Such conduct was in violation of the rule whereby securities selling or
subscribe and receive allocated shares for patrons of such companies.Such conduct was in violation of the rule whereby securities selling or allocation to directors, executives and related parties of the
Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. The said actions were also classified as prohibited characteristics of personnel in capital market according to Clause 6
Investigation (DSI) for (1) failing to perform duties responsibly, carefully and honestly, (2) seeking unlawful gain for himself or other persons causing damage to the company, and (3) committing or permitting
tender offer for securities of the business for acquisition of securities for business takeovers; (7) “waiver applicant” means an applicant for a waiver to acquire shares without having to make a tender
transactions without proposing such transactions to the meeting of shareholders and did not perform according to the Notification on Connected Transaction due to the Board of Directors had misinformation on the
holds shares of not more than 10 percent of total voting shares in the subsidiary and not the controlling person in the subsidiary. Therefore, the Company is not required to perform duties under the
} also admitted that in 2008 she falsely informed her client that she had subscribed new shares issued to existing shareholders (rights issue) despite the client no longer had such shares in his account
POWER-P to pay 45 million baht higher than actual value as deposit for shares purchase of another company. In addition, he permitted false records or no record of important information in the company?s