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

the company issuing the securities sold in the above transaction. Failure to conduct KYC/CDD process to verify and record the beneficial owner's identity, despite learning of such identity, was in

revision specifies that retail investors and investment management organizations for individual investors must collectively hold at least 50 percent of the total investment units sold, and at least 25

, 2013 regarding the proposed asset disposal opposed by independent financial advisor. Under the proposal, most of WIN?s assets will be sold to a property fund.WIN earlier announced that it will propose to

, which is the biggest loss since it registered in the Stock Exchange of Thailand. Subsequently, during the period of 19 to 24 July 2017, Mr. Somboon, who knew or possessed the inside information, sold

. They sold the securities and settled all of the derivatives contracts after the companies disclosed their financial statements through the SET Information Transmission System. 30/07/2019 agreed to

the 1st quarter of 2017 to the public on 9 May 2017. Later she sold TRUBB shares for profit. In addition Miss Panjama discloses inside information to Mr. Atthawit Thianwiwat, while knows or ought