Provisions relating to Offer for Sale of Shares Issued by Foreign Company of which Shares are not Traded in Foreign Exchange
characteristics: (a) a person who has voting rights, whether directly or indirectly, more than twenty five percent of the total number of shares with voting rights of the company; (b) a person who by behavior can
” Related Relationship Hwa Fong Rubber Industrial Company Limited is the major shareholder in The Company, which holds 50.42 % of the company’s total shares. Service providers and service providers have
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
., is suspended for three months for failing to take care of a client's account, and instead assigning her subordinate who was an authorized trader to contact, solicit and give advice on securities
) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading
(Thailand) detected such dishonest behaviors and consequently terminated her employment and demanded that she pay compensations to all of the inflicted cilents. Pornthip?s misconducts were deeemed dishonest
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
his dividend payment unless his securities were transferred to another person?s account. She then transferred the client?s five stocks worth 5 million baht at the time into her own account and three
Application for Approval and Granting of Approval for Offering of Newly Issued Shares