following Divisions and Departments: 2.1 Enforcement Division comprises Enforcement Department, Litigation Department and Administrative Appeals Center, supervised by Assistant Secretary-General
as well as licensees which cease business operations.For financial institutions supervised by other lead regulators and licensed to operate securities or derivatives businesses, such as commercial
/201712/17101199.pdf 6611pe.doc trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market
November 11, 2014 Charin, then PAP independent director, arranged a sale of 147,000 PAP shares in which he had a stake held in the trading account of another person. In so doing, he took advantage of the non
remuneration, tax penalty, and accounts receivable previously recorded as stock under consignment in 2011 and subsequently re-arranged to sale transactions in 2012. The SEC, therefore, has instructed TUCC to
sales transactions in cash, executive remuneration, tax penalty, and accounts receivable previously recorded as stock under consignment in 2011 and subsequently re-arranged to sale transactions in 2012
against RAM documents arranged for RAM by arranging for RAM to sell its acquired shares of Kiatnakin Bank Public Company Limited (“KKP”) to his related persons at a price significantly lower than the market
million baht. Instead, Mr. Bhusana offered to buy KE shares directly from the seller at the price of 20 million baht. Later, he arranged for his associates to sell the shares to a third party at the
. Instead, Mr. Bhusana offered to buy KE shares directly from the seller at the price of 20 million baht. Later, he arranged for his associates to sell the shares to a third party at the significantly higher
Limited (KE) at the amount of 45 million baht. Instead, Mr. Bhusana offered to buy KE shares directly from the seller at the price of 20 million baht. Later, he arranged for his associates to sell the