The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that
Granting the Purchasing Right to Provider of Over-Allotment Shares After Allotment of Shares in Excess of Underwriting Amount
Re: Operations Relating to Lending of Money for Purchasing Securities and Lending of Securities to Non-Institutional Clients for Making Short Sale By virtue of Clause 5 of the Notification of the
Tiaosomboonkij by permitting to use her own securities trading account in purchasing TFG’s share or purchasing TFG’s share and TFG-W1 by using inside information concerning TFG’s operating results for the first
trading account in purchasing TFG’s share or purchasing TFG’s share and TFG-W1 by using inside information concerning TFG’s operating results for the second quarter of 2559 that had not been generally
Company Limited has paid the fine. The case is regarded as settle. SEC Act S.33 Criminal Complaint Filed with an Inquiry Official Dated 06/09/2016