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
outstanding balance in the derivatives account. In this regard, the aforesaid {A}'s actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re
. Eventually, she admitted that some purchasing transactions were made without the client's orders to cut loss in the client's account. This could be considered as misconduct for obtaining authorization to make
for a period of two months. Taking into account that he has already been suspended by his employer for one month and fifteen days, the suspension imposed by the SEC shall be fifteen days, effective
lead to economic expansion and development of the country.Taking into account the balance between regulatory burdens and investor protection, the proposed supervisory framework covers supervision on
ผู้ลงทุนในรูปแบบบัญชีไม่เปิดเผยชื่อ (omnibus account) นอกจากนี้ ได้เพิ่มมาตรการให้ ก.ล.ต. ดำเนินการหากพบว่ามีการใช้ ASEAN CIS ไทยเพื่อแสวงหาประโยชน์จากการลงทุนของบุคคลหรือกลุ่มบุคคลเดียวกันเป็นการเฉพาะ