respect to provision of services to ensure that securities are safely kept and used efficiently. Part 3 Subject Matters of this Notification Clause 4 This Notification establishes regulations on the
”) shares on October 13, 2014 which when combined with TIES shares held by her spouse and her minor child caused her aggregate holding of TIES shares reached or passed five percent of the total number of
notification of the Capital Market Supervisory Board after she and her concert parties jointly disposed MILL shares held by their nominee on June 11, 2014 which caused her and her concert parties aggregate
Miss Inthira Chuagsanit Between May 18, 2024 and June 13, 2024 Miss Inthira Chuagsanit a director or executive of Nex Point public company limited (NEX), has changed her securities holding. And Mr
Limited (“ALL”), had changes in her securities holdings in ALL during the period from 28 August 2020 to 27 August 2021, through transactions executed by herself as well as by her former spouse. Accordingly
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
to buy securities for her friend, who was in the process of opening a securities trading account, through assistance of one of her clients. After the trading account was opened, her friend asked for
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts