derivatives trading decisions on the client's behalf. Upon her client's inquiry, she then informed the client of the transactions which the orders had already been entered or executed. {A} had obtained such
Bangkok, 23 February 2017 ? The SEC has launched the Investment Governance Code (I Code) as a guideline for responsible and sustainable investment management of institutional investors. The seven
(SET), revealed that Sinsathien, then managing director and president of PRO, had access to material nonpublic information about a joint venture between PRO and Enviro-Hub Holding Limited (E-Hub) while
) 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
Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material
, said: ?Annual report and other reports such as quarterly financial statements and management discussion and analysis (MD&A) are a good source of material information on listed companies. The annual
significantly from the preceding quarter. Jajjai had taken advantage of the information to sell 1.3 million MODERN shares through the trading account of his daughter Benjamas before the company disclosed the
information to sell the company's shares through the trading account of Ms. Benjamas Dhammarungruang. Both offenders paid civil penalties and compensation for the received benefits, at the total amount of 2.58
baht or a 73.22 percent rise from the same period of 2015. Sarath took advantage of the inside information and bought 2,189,700 TOG shares through the trading account of Malita (currently his wife
2016 recorded a net profit of 221.45 million baht, a significant increase from the preceding quarter. Based on this inside information, Pinit had purchased 256,500 PDI shares through the trading account