result of which failed to identify Wichai?s dishonest acts occurred in the following period of time. In addition, Jadesada did not cautiously verify the existence of Wichai?s assets claimed to be sold for
listed companies have sold or planned to sell their assets to mutual funds or REITs. The transactions are usually huge in size and value and some of them allow listed companies or subsidiaries to lease
several days. When the client ordered to sell the securities actually sold by {A}, he instead sent the selling order for other securities of the client. {A} admitted that job stress caused him to decide to
this case, the SEC?s probe found that Yongyuth and Vorapin had sold TUCC shares in such a way that taking advantage of others by using non-public information material to TUCC share price. They learnt of
concerning 2012 interim dividend payment and warrants to purchase CMO ordinary shares to be issued and allocated to existing shareholders for free. Following public disclosure of such information, he sold all
trigger for a mandatory tender offer of the total NMG shares sold. In so doing, they failed to report their acquisitions, and did not make the tender offer for NMG takeover.As a result, their actions were
inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the
the company issuing the securities sold in the above transaction. Failure to conduct KYC/CDD process to verify and record the beneficial owner's identity, despite learning of such identity, was in
revision specifies that retail investors and investment management organizations for individual investors must collectively hold at least 50 percent of the total investment units sold, and at least 25
, which is the biggest loss since it registered in the Stock Exchange of Thailand. Subsequently, during the period of 19 to 24 July 2017, Mr. Somboon, who knew or possessed the inside information, sold