the securities trading reports for their customers by using trading order form (Form F8) despite those trading orders were not made in trading room. In addition, they failed to completely record a

least three quarters of total voting rights less interested shareholders to be approved. Accordingly, the SEC suggested ADAM shareholders carefully study relevant information, exercise their rights to

December last year.    The SEC therefore instructed the offerors and their financial advisor Finnex Advisory Co., Ltd. to revise the tender offer documents by adjusting the offer price according to the said

operators. The revised regulations require the said licensees appoint independent directors to perform their duties with honesty and trustworthiness for customer interest and thus aim to ensure efficient

listed companies have sold or planned to sell their assets to mutual funds or REITs. The transactions are usually huge in size and value and some of them allow listed companies or subsidiaries to lease

found that on October 3, 2012, {A} {B} and {C} had colluded to trade TPC shares through their own securities trading accounts and the accounts of {D} and {E}. The trading was done in the manner that

capital market personnel's malpractice / breach of professional conducts. They shall subsequently be revoked their approved status and the SEC will not consider their re-entering applications for a

nationality, on account of operating securities business without license.? Several foreign investors informed the SEC that Mr. Malpass, who resided in Thailand, had solicited them to transfer their pension

fees during February 1, 2000 - July 26, 2001. Their behaviors also indicated defrauding and deceiving the public by disseminating false information and concealing essential information through their

shares through Ziriwat?s securities trading account. Their actions were considered as taking an advantage over other investors due to their use of non-public information on Pulto LNG Project value where