SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
SEC?s probe found that during April 23 ? May 14, 2012, Sermkhun had purchased CMO shares through his securities trading account by using non-public information material to CMO share price concerning CMO
units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units
, regardless of the fact that he sold the entire purchased amount already.Following the SEC?s instruction for Bee to provide clarification with prompt rectification on the tender offer price for EIC?s shares as
, Managing Director of PTL and PAPL Director, acquired the information related to PTL’s operating results in the financial statements of specific businesses and the consolidated financial statements for the
) to (4) had purchased MAKRO shares based on non-public information material to the price of MAKRO shares. The findings revealed records of purchase transactions in the trading accounts of the four
number of money transfers through the client's ATS saving account to pay for the purchased securities. Moreover, {A} sold the client's securities and use the money for setting-off the payment for the
money transfers through the client?s ATS saving account to pay for the purchased securities. Moreover, {A} sold the client?s securities and use the money for setting-off the payment for the securities
The measures include the Bank of Thailand (BOT)’s permission for financial institutions that have purchased investment units of daily fixed income funds to place such investment units as collateral
during April 8 - June 15, 2010, {A} {B} and {C} had purchased SPSU shares through securities trading accounts of {D} and {E}. The purchases were made in such a way that taking advantage of others by using