Bangkok, March 10, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 500,000 baht on Pantipa Thirakanokvilai for using inside information to sell shares of IT City Plc

’ equity falls below zero. In case of any irregular trading activity, SET is the frontline inspector and, if it is considered a liable offense, will gather information for SEC to conduct in-depth inspection

50.50 101.00 202 404 2.00 5.00 10.00 25.00 50.00 100.00 200 400 1.99 4.98 9.95 24.90 49.75 99.50 199 398 1.98 4.96 9.90 24.80 49.50 99.00 198 396 Motivation • It is clear that trading activities are

material to {X1} Company share price. The purchases were made through trading accounts of his son in which Sumit was an authorized person. In late 2012, {A} learned of the information concerning {X1} Company

director and executive at the time of the offence, on the ground of insider trading. They were ordered to pay civil fines and return any gains from the offence.*Mr. Suphanan, however, sent a letter asking

Bangkok, 25 July 2022 – It appears that Zipmex Thailand has not resumed its digital asset trading service in accordance with the company’s rules, conditions and procedures (Trading Rules) as approved

be traded while the clients merely accepted the transactions. For {B} case, it was found that he failed to completely record the client's trading securities orders for a number of transactions; the

transactions sent by the company. In addition, she had other persons confirm certain non-Internet based derivatives trading orders to make it appear that the client had sent the orders himself. {A}’s

trading account.In the case of {B}, it was found that during June - October 2014, {B}, then working for KGI Securities (Thailand) Public Company Limited, borrowed the trading account of a client who was his

Microsoft PowerPoint - IT Audit_NL IT Audit Dr.Lovepon Savaraj Dr. Nongnuch Laomaneerattanaporn 1 AGENDA • Why do we need to audit IT systems? • Type of IT controls • IT General Controls