a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner
section on ‘key concepts and definitions’. Ultimate owners cannot delegate these underlying responsibilities; even when they employ agents to act on their behalf, beneficial owners need to ensure that the
The Derivatives Act The Derivatives Act B.E. 2546 SECTION 30. The auditor under Section 28 shall be a certified public auditor approved by the SEC Office and shall not be a shareholder, a beneficial
selection will be based on knowledge and expertise in the capital market, other related experiences that will be beneficial to the position as well as good governance and ethical behaviors.Those interested
of RPC through the trading account of another person which he was beneficial owner in such a way as to take advantage of other persons by using positive material non- public information concerning
?s selection will be based on knowledge and expertise in the capital market, other related experiences that will be beneficial to the position as well as good governance and ethical behaviors.Those
the beneficial owner of Miss Karuna Kaewmanee’s securities trading accounts and five other persons who agreed to enter the settlement, to trade shares of Union Petrochemical Public Company Limited (UKEM
unknown person who was the beneficial owner of Miss Karuna Kaewmanee’s securities trading accounts and five other persons who agreed to enter the settlement, to trade shares of Union Petrochemical Public
same ground. There is also potentially confusing differences and overlap between the SEA and PLCA. In spite of wide spread training and awareness raising, market participants may not always fully