12 A securities company shall not mislead its counterparty regarding material facts of securities trading by refraining from disclosure of information, distortion of information, or giving false
ห้องค้า และไม่อำพรางเป็นผู้ลงทุนเพื่อยันยันรายการซื้อขาย โดยผู้ลงทุนรับทราบเป็นต้น (4.7) ต้องไม่เป็นผู้ส่งคำสั่งซื้อขายหลักทรัพย์ที่ไม่เหมาะสม (false market) (4.8) ต้องยับยั้ง ทักท้วง หรือแจ้ง ในการให้
management company’s responsibility, or intentionally making false statements in any material aspects or concealing material facts which should be declared in the application for an approval to act as a mutual
concealing investments, financial condition or the actual performance of a mutual fund or a private mutual fund operated under the management company’s responsibility, or intentionally making false statements
concealing investments, financial condition or the actual performance of a mutual fund or a private mutual fund operated under the management company’s responsibility, or intentionally making false statements
, date of the incident……….. Details of such incident ……… …………………………………………………………………………… Considered by …………..……………..…. (attachment) (if any) O No (8) Intentionally made false statements of material facts or
) For example, date of the incident……….. Details of such incident ……… …………………………………………………………………………… Considered by …………..……………..…. (attachment) (if any) O No (8) Intentionally made false statements of
information, or give false information to counter trader. Clause 12. Securities company shall not purchase or sell any securities by using inside information which is likely to have an advantage against third
mislead counter trader about the essential details of securities trading, by refrain from information disclosure, distort information, or give false information to counter trader. 8 Amended by Notification
of securities trading, by refrain from information disclosure, distort information, or give false information to counter trader. 8 Amended by Notification of the Securities and Exchange Commission No