the competitiveness of the business operators in response to the Capital Account Liberalization Plan of the Bank of Thailand. In the future, the Plan will permit general investors to invest directly on
Stock Exchange of Thailand, the SEC probed into the case and found that {A} had sold 711,300 {X1} shares in a trading account of a juristic person where he is an authorized director and holds 99.98
records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make
securities trading account of another person for her own or others? benefits in such a way that taking advantage of others. The selling was made by using material non-public information concerning a 129.83
must be filed with the DSI. Taking into account the safety of informer, a provision on anonymity of the informer is included in cases where such person prefers non-disclosure of his or her identity
trading account to buy 9,000,000 ESTAR shares based on inside information he learnt as the CEO. Such information was about the company?s Q4/2013 performance with significant increase in revenue and profit
? futures trading orders through an account linked to him at another broker for his personal gain. This caused financial damages to his clients. His actions were in violation of Sections 145(3) and (4) of
? Engineering, had sold 5,950,000 EMC shares and 8,900,000 units of warrants to purchase EMC shares (EMC-W3) in his ex-wife trading account. The selling was based on non-public information concerning the
).Following a referral from the Stock Exchange of Thailand, the SEC?s further investigation has revealed that Somchai colluded or agreed with Chaninan Luangwaykin to use his own securities trading account or
taken into account the important role of PF and DF marketing agents in soliciting investors to use investment management services of such funds. They cover key areas such as (1) the criteria for granting