customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
company to exercise the right to vote should have knowledge and understanding of the subject to be voted. (b) Factors that should be contemplated in making a decision in voting e.g. advantage and
prohibited characteristics such as the relevant amount of money and transactions; (c) the person who has taken advantage from the prohibited characteristics. (2) subordinate factors which is the facts that the
where there are burdensome number of hours required to complete the engagement; and · Engagements for entities in development stage. If no, describe how the firm obtains assurance that it is not
(Translation) PAGE 112 (Translation) Securities and Exchange Act B.E. 2535 (As Amended) _________________ BHUMIBOL ADULYADEJ, REX., Given on the 12th day of March B.E. 2535; Being the 47th Year of the Present Reign. His Majesty King Bhumibol Adulyadej is graciously pleased to proclaim that: Whereas it is expedient to enact a law on the securities and exchange; Be it, therefore, enacted by His Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as...
behavior indicating unfair practices or taking advantage of the investors in securities or derivatives trading or aids or abets or used to aid or abet the others in connection with such behavior. Part 3
units and personnel who have an opportunity to access such insider information and the work units and personnel who have the opportunity to take advantage of such insider information . Clause 6 A
offences against property; (b) having inappropriate management or not complying with law or orders of lead regulator; (c) acting against the law or to gain an unfair advantage; (4) being a person under the
information, or give false information to counter trader. Clause 12. Securities company shall not purchase or sell any securities by using inside information which is likely to have an advantage against third
recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other