World Federation of Exchanges (WFE) or debt instrument having organized secondary market; (3) having policy to invest in the similar assets as those permissible to invest in or to have in possession by

Exchange Commission  KorDor. 30/2540 Re: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities   31/07/1997 5. Notification of the Securities and Exchange Commission

renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the

renewal of approval, provided that the SEC Office has never issued any order or disclosed information concerning incompetence in performance of duty or possession of the prohibited characteristics under the

, TRC’s financial manager, and (4) Ariya, Ounruen’s sister, had knowledge or possession of such inside information and the persons in (1), (2) and (4) had used such information to sell TRC shares in their

– 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

from the date specified in the SEC letter to be issued to notify their possession of the untrustworthy characteristics. _______________________* PTL financial year 2016 begins on 1 April 2015.** The

. Moreover, the existing laws may be impractical for capital market misconduct whereby important evidence is usually in the possession of the offenders contrary to other criminal cases that leave more traces

Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities  (4794) 03/08/2009 01/09/2009   Circular   SEC. Nor Phor. (Wor) 27/2558 Clarification on Short Selling and

/2553 Selling of Securities in Foreign Country by Securities Company Without Having Possession  (5347) 27/04/2010 16/05/2010 Contact The Securities and Exchange Commission, Thailand 333/3 Vibhavadi