Solicitation or advice on securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. ● Information of
instance, securities intermediaries, asset management companies, investment consultants and derivatives intermediaries with underlyings such as SET index, oil and precious metals (gold, silver, etc.); For
; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing investment units from an asset management company which offered for sale of investment units by
representative or the mutual fund supervisor fails to act in compliance with his or her power and duties; - Purchasing securities from a person who filed a false registration statement and prospectus or purchasing
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) committing unfair securities trading practice; (2) presenting a false statement or concealing material facts that should have been stated; (3) failing to perform duties as director or executive under Section
company disclose false essential information or conceal any facts of which the shareholders should be notified. T aking legal proceedings to claim for damages or the lost benefits to a company, when
has been completed; ● In case of unfair securities trading (such as price manipulation, insider trading, and dissemination of false statements), the SEC may proceed through criminal fining or criminal
Inform, disseminate, or certify any statement of information that is materially misleading (Section 240) 1.2 Analyze or forecast by using false information or distorting information (Section 241
under the law governing accounting professions and other additional regulations prescribed by the law governing securities and exchange, or aiding or abetting thereof; intentionally presenting false