financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings
Mr. Sunthorn Chaononghin On February 22, 2010, Mr. Sunthorn Chaononghin, an engineer of Solartron Public Company Limited (SOLAR), illegally purchased SOLAR shares in such a way as to take advantage
such a way as to take advantage of other persons by using adverse material non-public information concerning LVT net loss in Q1/2010 of 37.65 million baht which was significantly different from LVT net
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
accounts in such a way as to take advantage of other persons by using material non-public information concerning the business operation of CMO for Q 2/2012 that he obtained by virtue of his positions before
nominee account, in such a way as to take advantage of other persons by using material non-public information concerning the interim dividend payment 2012 and warrants to purchase CMO ordinary shares to be
constitute an unfair advantage to its customers or other interested person as specified in the notification of the Capital Market Supervisory Board. That is, the securities broker failed to Inefficient
July 27 ? August 10, 2011, Yongyuth, then CEO of TUCC, told Vorakun to sell 17,475,100 TUCC shares in such a way that taking advantage of others by using non-public information material to TUCC share
shareholders fairly by giving benefits to any group of shareholders, which will create an advantage over other shareholders or give inappropriately more benefits than other shareholders; 2. being unlikely to be
mechanism in any of the following manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to any group of shareholders, which will create an advantage over other