a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner
continuously conducted to learn of investor behaviors, evaluate knowledge level and satisfaction towards the SEC?s investor protection mechanisms. The feedback so obtained will be beneficial to the SEC?s
opening accounts or engaging in business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a
, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a natural person who ultimately owns the account, or has significant interests
business relationships with a securities company, but not including provident funds under the provident fund laws; (3) “ultimate beneficial owner of the transactions” means a natural person who ultimately
.......................................................... 51 G20/OECD PRINCIPLES OF CORPORATE GOVERNANCE © OECD 2015 9 About the Principles The Principles are intended to help policy makers evaluate and improve the legal, regulatory, and institutional
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 30. The auditor under Section 28 shall be a certified public auditor approved by the SEC Office and shall not be a shareholder, a beneficial
of RPC through the trading account of another person which he was beneficial owner in such a way as to take advantage of other persons by using positive material non- public information concerning
unknown person who was the beneficial owner of Miss Karuna Kaewmanee’s securities trading accounts and five other persons who agreed to enter the settlement, to trade shares of Union Petrochemical Public