Unfair Securities Trading Practices Prevention of Unfair Securities Trading Practices SHARE : Detail Content Group 1: Information disclosure that may cause damage to investors and capital market 1.1
interpretation of the “Executive” in relation to “person holding executive position in Accounting or Finance Department whose rank is not lower than departmental manager” Regarding the Notification of the
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. Competitive businesses Clear separation of target group of customers or markets; There are other groups of shareholders that can counterbalance; Major shareholders have more interests in the listed company
, Executives, Auditors, Plan Preparers and Plan Administrators (Form 59) Information, Certification and Consent of the Company's Director and Executive (Form 35-E1) Letter of Consent to Disclose Information
) 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
(public hearings / focus group) 3. นำหลักการเสนอคณะกรรมการ ก.ล.ต. / ก.ต.ท. (กรณี ประกาศสำนักงาน จะไม่มีขั้นตอนนี้) 4. จัดทำร่างประกาศ 5. เปิดรับฟังความคิดเห็นร่างประกาศ (public hearings / focus group) 7
Commission No. SorJor. 38/2561 Re; Preparation of Report on Changes to the Securities and Derivatives Holding of Director, Executive, Auditor, Plan Preparers and Plan Administrators, Chapter 2, Clause 7
fund manager with the following qualifications : (1) In the case of the selected fund manager being a director, executive or employee of another company, the mutual fund management company shall prove