Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock

– sold 3,853,600 SQ shares in her possession through the trading account of Satida, her daughter, who rendered assistance or convenience by letting Penprapa use her trading account to sell the SQ shares

securities trading account. This constitutes an offense of purchasing securities as a person who knows or possesses inside information under Section 242(1), in conjunction with Section 244(2) and (5), and is

meeting documents, jointly opening a bank account for receiving the B/E transfer transactions, concealing such B/E sale by omitting the sale transactions from the company's accounting records, and

contain provisions related to the use of a nominee account or allowing one?s trading account to be used as such in the commission of a market misconduct offense. (2) Civil Penalties: The civil penalty is

core principles take into account environmental, social and governance (ESG) factors in the business practices of investee companies, offering institutional investors a balanced focus apart from seeking

were induced to transfer their money to the company's account while the company also obtained benefits from trading fees which are deemed undertaking derivatives business without license in contravention

Krungsri Securities for a certain period of time. {C} admitted and explained that her client was not keen on investment and asked her to take care of the trading account.{D} failed to perform her duty in

account that {B} has already been suspended by her employer for two months, the SEC considered her six-month suspension term remains for another four months. The {C} case started from a lead and the SEC's

and Finance and Account Department Director; (6) BF Intertrade Co., Ltd. (BF);  (7) K.S.C Stainless Products Co., Ltd.(KSC); (8) Jalernrat Chuenwiratsakul, BF & KSC directors; and (9) Thai Niche Co