. 45/2547 Re: Determination of Undertaking not Deemed as a Derivatives Dealer dated 8 October 2004 shall be repealed. Clause 2. Person who offers to trade or trades in derivatives for his own account
) Derivatives, each coming with its own strong market position. The acquisition comes with its own strong R&D and technical capabilities apart from portfolio of about 900 patents and other intellectual properties
use their own funds to pay a compensation to the affected mutual funds instead of reducing the number of units. In other cases, the regulations do allow AMCs to compensate using such method. The SEC has
change in price or value of LPN shares) purchased LPN’s shares through her own securities trading account between May 7 and 21, 2020. Additionally, Miss Nawarat also purchased LPN shares in her own
fraud was supported and assisted by (1) Mr. Thepthiwa Bootprom, who knew Mr. Krittiphat Ittisanyakorn and Mr. Sunchai Intarauksorn. In so doing, Mr. Thepthiwa allowed his own bank account to receive
allowed his own bank account to receive transfers of the total B/E sale money to be further distributed to other persons while (2) Miss Nittha Kongkarien (formerly named Miss Jaroonluck), secretary to the
into a transaction for its own benefit or for other person’s benefit before the benefit of its client by using information concerning [i] client ’s [pending] order for trading or engaging in a contract
personal benefits from the margins of the offer prices. According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to
). The SEC Office has the duty to collect, use or disclose personal data on the legal basis of public interest pursuant to Section 24(4), Paragraph 1(2) of Section 25, and Section 27 of the Personal Data
proceeding under the SEC Office’s Standard Procedures for Electronic Transmission of Information B.E. 2564 (2021). The SEC Office has the duty to collect, use or disclose personal data on the legal basis of