profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
Office of the Securities and Exchange Commission No. SorThor. 50/2549 Re: Rules on Waiver for Appointment of Independent Director of Derivatives Broker _____________ By virtue of the second paragraph of
). He obtained the material non- public information by virtue of his positions before such information became public on November 23, 2012. SEC Act S.241 Settlement Committee Meeting No. 4/2014
work systems, causing the company to fail to operate its business in compliance with the governing regulations. Therefore, on 19 March 2021, by virtue of Section 35 Paragraph 1 of the Emergency Decree
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
issued and allocated to existing shareholders for free that he obtained by virtue of his positions before such information became public on September 14, 2012. SEC Act S.241 Settlement Committee Meeting
examination on suspicious facts. Overall, the number of complaints against unlicensed securities or derivatives businesses is on a gradual decline, and 75 percent of the cases is beyond the SEC?s authority, for
Capital Market Supervisory Board No. TorKhor. 4/2551 Re: Rules for Undertaking Derivatives Business for Registered Derivatives Advisors _____________ By virtue of Section 18 of the Derivatives Act B.E. 2546
information was published via the SET on 30 October 2012 at 20.54 hours. Somporn, who had an access to the inside information by virtue of his position as TIP managing director, sold TIP shares on 28 August