. Worraphant sold 1,121,000 of STEC shares in Miss Preeya's securities trading account, his subordinate by using inside information, prior to the disclosure of such information to the public on 15 February
national economy. One of the subordinate plans is to provide opportunities for SMEs to access financial services, including new types of funding sources, and to develop channels for accessing new types of
practices on personal data protection in compliance with the Personal Data Protection Act and supporting the issuance of subordinate rules and regulations under the Act which will be effective in 2021
misappropriated the client's subscription cash payment of 500,000 baht for his own use. He then ordered his subordinate to transfer units of another mutual fund held by the same client into the solicited fund by
-increase shares or subordinate bonds, and to refrain from making business expansion or further investments in high-risk instruments. On December 12, TSFC sent a letter informing the SEC that the company?s
account of Preeya, his subordinate at the company, on 16 January 2018 and gained benefits from the sale before the net loss value of 610.83 million baht from the 2017 operating results was disclosed to
., is suspended for three months for failing to take care of a client's account, and instead assigning her subordinate who was an authorized trader to contact, solicit and give advice on securities
account for Sippakorn to send trading orders, facilitated respective payments for the provided account, and used such client's account for his own securities trading. Furthermore, he ordered a subordinate
prohibited characteristics such as the relevant amount of money and transactions; (c) the person who has taken advantage from the prohibited characteristics. (2) subordinate factors which is the facts that the