gather information in a case of using inside information to purchase shares of a listed company in violation of Section 241 of the Securities and Exchange Act B.E. 2535 (SEA). {A}, a financial advisor
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
The SEC had reviewed the criteria related to report on securities (i.e., shares and convertible securities) or derivatives holding of listed companies’ directors, executives, and auditors** and
subscription right for capital shares of its subsidiary JMT Plus Co., Ltd. (JMT Plus) at the amount of 1.1 billion baht to its major shareholder Jay Mart Public Company Limited (JMART) before exercising the
complete the review process at the same time, within three to four months from the date of submission. This will enhance market efficiency as the time taken for the issuer to obtain approval to offer its
infrastructure businesses or hold more than 75 percent of the total number of shares sold in businesses investing in or having major revenues from infrastructure businesses, e.g., rail system, express way, power
shares as specified under Paragraph 4 of Section 25. Chapter 1 Qualifications of a License Applicant __________________ Clause 3 An applicant for the agricultural derivatives business license shall be: (1
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.