personal benefits from the margins of the offer prices. According to the findings of the SEC investigative team, 10 of the 11 investment consultants solicited several clients to invest in IPO shares to
seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
Offeror : (ๅ) Miss Satita Viddayakorn (2) Dr. Satit Viddayakorn (3) Peak Development Holdings Ltd. | Date of submission of the Statement of Intention : 20/10/2016
Offeror : (ๅ) Miss Satita Viddayakorn (2) Dr. Satit Viddayakorn (3) Peak Development Holdings Ltd. | Date of submission of the Statement of Intention : 01/11/2016
considered shall include: (1) involvement and significance of behaviors such as the amount of money involved, the volume of transactions involved, the person obtaining benefits, being the principal, instigator
behaviors such as the monetary amount involved, the volume of transactions involved, the person obtaining benefits, being the principal, instigator or supporter, with premeditation or gross negligence; (2
Bangkok, November 26, 2014 - The SEC revealed that the Settlement Committee fined {A} {B} and {C}, as principal, along with two aiders and abettors, namely {D} and {E} for using inside information to
Trust (REIT) is a fund mobilizing vehicle for business entities to finance the current activity or to develop a new project. A REIT provides investors with an alternative in investment, and benefits from
grounds to suspect that the directors, executives, and major shareholders having other interest which may be in conflict with the best interest of the business or having benefits transferred from the
price, dates and time of the offering for sale or conditions on the offering for sale of units. 2 “principal asset” means principal asset in which REIT is able to invest under rules as prescribed in the