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
management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the
the trading of SCIB-C1 during such period was in a dispersal manner through various brokers. It was neither abnormal nor considered as having price manipulation involved. However, the SEC has requested
preventive measures on risk arising from abnormal trading as follows: Shares prohibited from margin loan and net settlement should be applied only to 1. shares with one-week turnover ratio of 100% or over
The SEC?s inspection found that clients of brokers in Had Yai had used non-financial institution loans for purchasing stocks, therefore required all brokers to closely monitor abnormal activities as
, the rules, which are currently in effect, should be revised with respect to maintenance of NC in case of abnormal increase in transaction volume of the business operator to the effect that the
engagement quality reviewers (EQR) of listed companies must have competence, capabilities and authority at a level not less than auditors in the capital market who audit listed companies. In the event that an
proceedings.WIN price manipulation: In another SEC?s investigation which probed into the abnormal trading of WIN shares during March 10-24, 2006 (11 working days), it was found that Suwanna Maneesawat, Pornpat
market positively reacted to debenture issuances with abnormal profit. The said finding was based on the trade-off theory under which costs and benefits debt financing are weighted. If the benefits