, ordered, acted, or omitted to order or act according to their duties, consequently causing STARK to commit an offense in the above case. They are therefore subject to the same penalties under Section 300 in
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
the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A
information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions
trading orders through email, investor contact should confirm such orders by taping phone conversation to ensure that the client has actually ordered to trade securities for record keeping."
SEC therefore ordered the company to review and reinforce its relevant systems. Meanwhile, the SEC will consider further appropriate measures in due course. In this regard, the institutional clients
from the Company shareholder’s meeting to be held on 1 June 2018. The transaction is expected to be done after the shareholder’s meeting. 2. General characteristic of the transaction According to the
Ariyakeereevarakup as 0.01% 3 . The general characteristic of the transaction Net Tangible Asset NTA of target company x %holding x 100 NTA of the listed company and its subsidiaries (Refer to Consolidated Financial
characteristic of the transaction Net Tangible Asset ( Refer to Consolidated Financial Statement 30 November 2017) NTA of target company x %holding x 100 NTA of the listed company and its subsidiaries =266.64x100
Market Supervisory Board No. TorJor. 21/2551 Re: Rules on Connected Transactions. Purchaser : Ton Sangkasi Pte. Ltd. (“TS”), the wholly-owned subsidiary of the Company. 3. General Characteristic of the