into the case and found that {A} submitted trading orders for EIC securities on the client's behalf, during the period of tender offer launched by such client.  In so doing, {A} failed to inform the

Capital Nomura Securities PLC., a number of securities trading orders from an account of {A}'s client had no supporting evidence for a period of time. {A} admitted to Capital Nomura Securities PLC., that he

information system prior to the closing of the tender offer period. 

had to settle the purchase order before regular settlement period in order to avoid force selling. This action was considered that Wiroj failed to inform sufficient information by concealing important

purchase order before regular settlement period in order to avoid force selling. This action was considered that {A} failed to inform sufficient information by concealing important information that might

consultants for a period of two months and one month, respectively, effective from June 13, 2013.

investment decision making. The program approval suits the issuer making several offers for sale of debt securities in the proximate period and allows the issuer to make such offer when having financial need

proposed revisions cover criteria on period for transfer of proceeds from PVD to RMF, submission of documents to management companies, types of RMF available for the transfer of proceeds from PVD, fund

executives, and staffs who are in relations to stocks and REIT underwriting deals, from selling them for a prescribed period of time after listing. This prohibition aims to prevent conflict of interest as the

securities public offering (PO). The revised rules require the issuers of non-listed company not have any records of severe misconducts for a certain period prior to securities offering submissions. For