or misleading information 1 5 5,000,000.00 - 153,310.00 - - Market manipulation 3 6 83,000,000.00 131,227.00 48,638.00 - - Insider trading / Disclose inside information 1 2 1,515,902.45 1,212,721.96
supervision is to prevent market manipulation. All parties mutually agree to adopt the pre-emptive move concept and preventive measures should be specific and avoid confusing information. By doing so, the SEC
statement/ Dissenimation of false or misleading information 0 0 - - 0 0 1 1 Market manipulation 0 0 2 32 0 0 - - Insider trading / Disclose inside information 0 0 - - 0 0 - - Takeover - - - - 1 1
allowing someone else using a securities trading account or a banking account, fraud by management, market manipulation, and insider trading) are which DSI has a responsibility for. Is imposed by the
the manipulation or distribution of, assets derived from such acts. (2) regulations specifying the composition of an association related to securities business, whereby a body of persons of at least
imposed on an offender for these following offenses under SEA: (1) committing unfair practice regarding securities trading (e.g. market manipulation and insider trading); (2) presenting a false statement or
Annual Report 2009 1 Annual Report 20092 Over the past year, the Thai economy experienced a recession for the first time since the Asian economic crisis in 1997. The first quarter saw a 7.1 percent contraction as a result of sluggish export in the midst of global financial crisis, diminishing demand of domestic private sector, and lack of confidence in economic and political directions. All these factors played out against a backdrop of weakening economies of our trade partners worldwide, which...
examine the boards’ performance within a check and balance system. Their views and reports must be independent and free from conflicts of interest or interference from any influential groups, and their
ถือของ วิชาชีพดงักล่าวโดยรวม 11 3. การทําให้ตลาดหรือราคาหลกัทรัพย์มีสภาพผิดไปจากภาวะปกต ิ(market abuse or manipulation)9 แนวทางแกไ้ขเพิมเติม (ก) ปรับปรุงใหก้ารกระทาํทีมีลกัษณะเป็นการสร้างภาพทีทาํใหเ้กิด
UNOFFICIAL TRANSLATION Readers should be aware that only the original Thai text has legal force and that this English translation is strictly for reference. Notification of the Office of the Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board No. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, a...