criminal complaint with the Economic Crime Suppression Division against {A} and {B} and the parties involved on account of being co-principals in operating derivatives business without approval. Due to
execution program. She also transferred her own money into the client’s trading account as a collateral for trading loss. Meanwhile, the client did not contradict or object to the record of confirmed
asset management companies are already required to prepare and disclose to the unitholders. In drafting the regulations, the SEC took into account the feedbacks received from the business operators during
Thianthong, Vice President, Marketing, Commercial and Supply at the time of the offense, on account of failing to perform duties with responsibility, due care and loyalty as director or executive of
make any transaction related to such assets to consider the matter thoroughly and cautiously by taking into account both expected interest and potential risks and impacts. In addition, directors and
. Opinions and suggestions of private organizations in the financial and capital markets as well as those from relevant state agencies were taken into account during the focus group consultation on 26 March
that information into account when making investment decisions. SEC hopes that this online seminar will benefit all listed companies, whether they are already in process of preparing such disclosure
quarter of 2018 would show a great decrease in profits. She sold out 314,500 of UVAN shares that were held under the trading account of Amornrat to avoid loss before UVAN submitted its financial
client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own