rectification and the correction. Such correction, in writing, must be widely disseminated to all the media every time, not limited to only the media earlier obtained the incorrect information or the media which

indicated that {B} had obtained authorization to trade gold futures for the client. The client then acknowledged and accepted the trading as reported by him without any enquiries.  The acts of {A} and {B

manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions

information in possession of SEC and in a form that the computer can read and readily process (machine readable data). Data can be obtained by means of code-writing for direct data query. SEC anticipates that

: elements of crime will be revised to be more concise and comprehensible as well as extended to cover non-insider who traded securities by using inside information obtained from others;2) Dissemination of

Exchange Act B.E. 2535 (1992) (SEA), the Settlement Committee therefore imposed a fine on him in the amount of 500,000 baht. As for Olarn?s insider trading case, the SEC had obtained the referral from the

Exchange Act B.E. 2535 (1992) (SEA), the Settlement Committee therefore imposed a fine on him in the amount of 500,000 baht.As for Olarn?s insider trading case, the SEC had obtained the referral from the

authorization that {A} had obtained  to make securities trading decisions on the clients' behalf.In performing their duties, investment consultants  can send trading orders only when obtaining instructions from

prevent mutual funds from being exploited for any other benefit than those which ought to be obtained from the investment. At present, the number of investment units held by any person or any associated

Board concerning Rules on Personnel in the Capital Market Business . Clause 3 It shall be deemed that a derivatives intermediary has obtained an approval from the SEC Office to appoint a person to be