matter thoroughly and cautiously by taking into account both expected interest and potential risks and impacts. In addition, directors and executives of listed companies are required to perform fiduciary
of PVD factsheet and pooled fund data report. The SEC conducted a public hearing to seek stakeholders’ comments and suggestions on this matter during the months of October and November last year
supervisor. Clause 3 The commitment shall contain at least a particular describing the material information as follows: (1) name of the mutual fund scheme; (2) details of the mutual fund scheme containing the
this case, the SEC?s probe found that Yongyuth and Vorapin had sold TUCC shares in such a way that taking advantage of others by using non-public information material to TUCC share price. They learnt of
required to disclose information of the fund with material information equivalent to that disclosed by Thai funds to their unitholders. Also, the Hong Kong fund must prepare the factsheet in the format
trading account of Another person in such a way as to take advantage of other persons by using positive material non- public information concerning RPC investment inSammakorn Public Company Limited (SAMCO
appoint it to act as securities broker. For the purpose of fairness to the parties, the SEC may specify any particulars which are material to the agreement.
as those of the auditors. Being well aware of this fact, the SEC has regularly communicated and emphasized this matter to the stakeholders through various kinds of activities. For example, the SEC