information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113
Company Limited ("IFEC"), acquired the knowledge from the Board of Directors Meetings No. 11/2016, held on 1 November 2016, that IFEC faced a problem with insufficient cash flow to pay off its
person who has authorized the management of the private fund using knowledge and competence as a professional. SEC Act S.134 paragraph 2 and paragraph 3 in conjunction with 133 paragraph 1 Criminal
Mrs. Chatkaew Gajaseni Mrs. Chatkaew Gajaseni, while being director and executive director of PTG Energy Public Company Limited (PTG), knew or possessed negative substantial inside information about
UOB Asset Management (Thailand) Company Limited UOB Asset Management (Thailand) Company Limited, a fund management company, disclose investment information which is failed to comply with the rules
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
trading account of Another person in such a way as to take advantage of other persons by using positive material non- public information concerning RPC investment inSammakorn Public Company Limited (SAMCO
information statement for the year 2018 (Form 56-1) in accordance with the notification of the Capital Market Supervisory Board. However, CEN prepared and submitted the inaccurate annual updated information
Mr. Tharathon Phiboonthammasak Mr. Tharathon Phiboonthammasak knew or possessed negative substantial inside information about PTG Energy Public Company Limited (PTG) Q3/2018 performance which would