) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses
) Group 2: Constituting an unfair advantage over investor by exploiting the inside information 2.1 Trade securities by using inside information (Section 242) Offender Person who knows or possesses
responsibly, avoiding taking advantage of or misleading customers, or causing misunderstanding about the products and services offered by the company. (3) Responsibilities to business partners by engaging in
es Investor Alert Enforcement Fundraising Securities Issuing Companies Takeover Professionals Intermediaries List of Securities Businesses / Derivatives Businesses Asset
/ Derivatives Businesses Securities Brokerage Securities Companies and Other Financial Institutions Staff or Agent (individual) Acting as Investor Contact of the Company D erivatives Agent Licensed
philosophy , businesses should operate on the basis of fair advantage without seeking excessive profits at others’ expenses or overlooking possible social consequences or crises. Ethical and effective use
philosophy , businesses should operate on the basis of fair advantage without seeking excessive profits at others’ expenses or overlooking possible social consequences or crises. Ethical and effective use
philosophy , businesses should operate on the basis of fair advantage without seeking excessive profits at others’ expenses or overlooking possible social consequences or crises. Ethical and effective use
philosophy , businesses should operate on the basis of fair advantage without seeking excessive profits at others’ expenses or overlooking possible social consequences or crises. Ethical and effective use
2033 9999 or e-mail: complaint@sec.or.th Facebook page for investor education “start-to-invest" and "Happy PVD" SEC and Investors Be Wary of Investment Fraud Investment Governance Code for