units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units
SEC?s probe found that during April 23 ? May 14, 2012, Sermkhun had purchased CMO shares through his securities trading account by using non-public information material to CMO share price concerning CMO
, regardless of the fact that he sold the entire purchased amount already.Following the SEC?s instruction for Bee to provide clarification with prompt rectification on the tender offer price for EIC?s shares as
, Managing Director of PTL and PAPL Director, acquired the information related to PTL’s operating results in the financial statements of specific businesses and the consolidated financial statements for the
Exchange of Thailand regarding Amendment to the Regulations on Depository Receipts to allow DR to be bought in decimal point or Fractional DR (DRx).* The DR is a financial product linked to a foreign
own address and to submit capital reduction order for the client?s private fund. With the capital reduction payment, Thanjira bought investment units for the second client and Surasak. Moreover, she
) to (4) had purchased MAKRO shares based on non-public information material to the price of MAKRO shares. The findings revealed records of purchase transactions in the trading accounts of the four
have revealed that he confirmed with a customer that the RMF units the customer had bought in 2011 were redeemable without breaching the terms and conditions of the tax benefits. However, the actual
baht or a 73.22 percent rise from the same period of 2015. Sarath took advantage of the inside information and bought 2,189,700 TOG shares through the trading account of Malita (currently his wife
without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own