information in detail and exercise their voting right to protect their own interest and inquire the company’s executives to obtain complete information for decision making. ______________________ * MACO plans
transactions as originally intended by the investors in the following business day. Instead, he spent the subscription money for his own benefit, causing the total damage of 449,500 baht to eight clients. SEC
client of such act. When the client asked for dividends from such shares, {A} transferred her own money to the client’s account instead to conceal the fact that she had not bought the shares as ordered
their own interest by seeking clarification from investment consultants regarding the nature and features of the investment vehicles in which they are interested, conditions for earning returns
statements for January and February 2016, purchased PTL shares through his own trading account on 11 and 17 March 2016 at the total amount of 200,000 shares and colluded with (8) Mr. Rahul Jain, who was not
on findings, during 2008-2010, Shine had traded such 12 securities through his own and other persons? accounts as follows: (1) Shares of Sub Sri Thai Warehouse Plc. ("SST") (Presently Sub Sri Thai
amount of 179.6 million baht for his own benefit, causing damage to the company. He was also found forging documents related to NIPPON?s securities investments to deceive others regarding the company?s
proper investment management are concerned. To account for these concerns, international organizations and leading countries have laid out their own I Code. Furthermore, I Code is now one of the criteria
investor contacts were in violation of Clause 14(2) of the SEC Notification No. SorKhor 49/2009 Re: Approval for Investor Contacts, which stated that investor contact shall let investors make their own
carefully study the information, exercise their rights to protect their own benefits, and seek clarification or explanation from the company directors and executives so as to have sufficient information for