from persons who were not the owners of the accounts or were not authorized in writing by the investors. Their acts caused damage to the clients during February – November 2018.The misconduct of the
condition. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was
related persons. Monitoring acitivities of invested companies is also a must as sometimes regulators are not legally authorized to issue an order in certain matters.Disclosure of sufficient information is
, TIPCO’s Chairperson of the Board and Authorized Director and Director of the Tipco Asphalt Public Company Limited (TASCO), having known an inside information that has positive impact on TIPCO share price
-public information obtained while performing duty as {X1} advisor and president. With the referral from the Stock Exchange of Thailand, the SEC's probe found that on May 7, 2010 {A}, as the authorized
investment consultant for a period of five months, effective from February 16, 2013In case of {B}, the SEC received a report from Finansia Syrus Securities Plc., that he had been authorized by his client to
Bitazza are deemed the persons responsible for the operations of Bitazza during the relevant period. Moreover, Mr. Kavin and Mr. Wee Kiat Kevin Heng as authorized directors of FreedomVerse and signatories
( ) Subscription in excess of rights offering ( ) Exercise of conversion rights ( ) By way of inheritance 2.2 ( ) Commencement of status of a concert party ( ) Termination of status of a concert