Mr. Thitipat Thitiphan Mr. Thitipat Thitiphan joined or agreed with other offenders in manipulating 2 securities by separating duties to executing buying or selling orders in a way of concealing and

Mr. Teerachai Rattanakamolporn Mr. Teerachai Rattanakamolporn joined or agreed with other offenders in manipulating 2 securities by separating duties to executing buying or selling orders in a way of

buying PTL shares using inside information. 16/05/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary

members’ stakes to enhance efficiency, flexibility and clarity in handling the matter. In addition, the procedure for buying and selling securities of Board members were revised to reassure transparency and

3. Buying/ selling process of investment products • Describe the features of available channels for buying and selling investment products. • Identify the roles and responsibilities of the financial

Annual Report 2009 1 Annual Report 20092 Over the past year, the Thai economy experienced a recession for the first time since the Asian economic crisis in 1997. The first quarter saw a 7.1 percent contraction as a result of sluggish export in the midst of global financial crisis, diminishing demand of domestic private sector, and lack of confidence in economic and political directions. All these factors played out against a backdrop of weakening economies of our trade partners worldwide, which...

underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business

limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business, and securities

category of securities finance business, mutual fund management, securities brokerage, investment advisory service, securities dealing or securities underwriting without limitation to only debt securities

return, however, the highest return was shown in case of foreign investors while the lowest was the case of retail investors, when measured by investor category. This was caused by the limitation in