management in the case where private fund management company is not any person as provided in (1) “Registered company” means any company holds registered or authorized securities for trading in the securities
any person as provided in (1) “Registered company” means any company holds registered or authorized securities for trading in the securities exchange; “Management company” means any mutual fund
in such a way that the receiver of the benefits from such trading is the same person. These offenses were in violation of Sections 243 and 244 of the Securities and Exchange Act of 1992 (SEA) in
party, and obtaining unlawful gains for themselves or another person caused damages to EARTH. This case is in the process of inquiry by the inquiry official. SEC Act S.308 310 and 311 in conjunction
unlawful gains for themselves or another person caused damages to EARTH. This case is in the process of inquiry by the inquiry official. SEC Act S.308 310 and 311 in conjunction with 315 Criminal
Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker _____________ By virtue of Section 14 and Section 19 of the Derivatives Act B.E
Pimwan Thareratanavibool Miss Pimwan Thareratanavibool, Managing Director and Director of AIE: As a person knowing or possessing inside information, she sold AIE shares through her own trading
Commission No. SorThor. 19/2554 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker under Quota Allocation By virtue of Section 14 and Section 19 of the Derivatives
such manipulation, in the total amount of 2,166,666.66 baht.Details are as follows: (1) ASCON price manipulation: following the Stock Exchange of Thailand (SET)?s report on irregular trading of ASCON
customer who is listed as a designated person or who has or had conducted transactions with such a person. Failure to do so may result in criminal penalty. In addition, a director, a manager, or a person