; “inside information” means the significant facts which effect the change in the price of securities but has not yet been disclosed to the public and a securities company has acquired during the course of
other than an institutional client; “inside information” means the significant facts which effect the change in the price of securities but has not yet been disclosed to the public and a securities
licensee can demonstrate its possession of: (a) good and efficient management; (b) efficient policies and measures on prevention of conflicts of interest, prevention of access to inside information between
of the following manners, for which the SEC shall specify the paid-up registered capital of at least one hundred million baht: (1) Keeping the client’s assets in its possession; (2) Investing in or
: Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities By virtue of Section 14 and Section 98(5) of the Securities and Exchange Act B.E. 2535 (1992), the Securities
; (6) “inside information” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired during the course of
allowing such transaction; (5) sell securities without having possession, or without receiving an order to sell from another person, unless the SEC issues a notification allowing such transaction; (6) accept
business or any other establishment of the applicant or its subsidiary company located inside Bangkok or its periphery. Clause 191 After the SEC Office has already received the complete and accurate