operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval

Mrs. Chatkaew Gajaseni Mrs. Chatkaew Gajaseni, while being director and executive director of PTG Energy Public Company Limited (PTG), knew or possessed negative substantial inside information about

number of salespersons sufficient for providing services to investors, the new rule will pave the way for experienced staff to seek sales licenses provided that they meet certain conditions to maintain the

; “inside information” means the significant facts which effect the change in the price of securities but has not yet been disclosed to the public and a securities company has acquired during the course of

other than an institutional client; “inside information” means the significant facts which effect the change in the price of securities but has not yet been disclosed to the public and a securities

foreign investor of the same characteristic as that of the investor under (1) to (14) mutatis mutandis ; “retail client” means a client other than an institutional client; “inside information” means the

Miss Ounruen Sujarittham Miss Ounruen Sujarittham, while Senior Finance and investor Relations Manager of TRC CONSTRUCTION PUBLIC COMPANY LIMITED (TRC), knew or possessed negative substantial inside

Mr. Tharathon Phiboonthammasak Mr. Tharathon Phiboonthammasak knew or possessed negative substantial inside information about PTG Energy Public Company Limited (PTG) Q3/2018 performance which would

securities business | - |- Registration |- Paid up Capital |- Fees |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders

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