company.This case was a referral from the Stock Exchange of Thailand and auditor?s opinion. The SEC?s further investigation found reasonable evidence indicating that the acts of Amnat, Shine and Kittichai were
, the SEC found convincing evidence indicating that during January 15- July 2, 2002 Apichart, Ratchanee, Krisda and Preecha traded KARAT?s shares through the accounts of Rachanee, person close to
on suspicious unlicensed activities indicating that the aforesaid operators engaged in the business of managing funds for others or holding themselves out as derivatives fund manager and private fund
indicating the customer's confirmation that he or she was the person sending the securities trading orders must also be included."
indicating the client allowed {B} to make securities trading decisions on the client's behalf. In addition, OSK Securities probe further into the case and found that {C} failed to record several securities
PT Millennium Penata Futures, and Kasemsak Sirisrisornchai, a director of J.R.A. Business Center Ltd. This follows complaints indicating that the aforesaid firms represented themselves to the general
based on reasonable evidence indicating that the said persons agreed or conspired with former executives of a securities company in using their own trading accounts or other persons? to manipulate the
spouse* and minor children, as well as cases where there is conduct indicating a common intention to exercise voting rights in the same direction, or where a person authorizes another person to exercise
shareholding based on the pro rata method; (3) Providing that shareholding and characteristics indicating controlling power shall include: - a spouse, including a cohabiting couple
applicant shall comply. Clause 12 In cases where additional facts appear to the SEC Office after the approval for an offer for sale of debt securities, indicating that the facts and circumstances that the SEC