persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the
Thai Fund manager - renew × Home > กฎหมาย / กฎเกณฑ์ > สรุปกฎเกณฑ์ > บุคลากรของผู้ประกอบธุรกิจ
Mr. Yinganan Wongsiridej Mr. Yinganan, while he was a fund manager of the Sala@Sathorn Property Fund (SSPF), knew inside information that there was an offer from one company to purchase the main
securities trading account between April 1, 2016 – May 4, 2016 in such a way as to take advantage of other persons through the assistance of Mrs. Supritha Pai Kasturi, PTL’s Senior Manager - Finance &
Manager - Finance & Accounts who also knows the inside information. 16/05/2019 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :
Mrs. Supritha Pai Kasturi Mrs. Supritha Pai Kasturi, Senior Manager - Finance & Accounts of Polyplex (Thailand) Public Company Limited (“PTL”), knows the information on PTL’s performance in the
Mr. Warot Norkeo 1. During 16 February 2015 – 29 July 2016, Mr. Warot, the assistant auditor holding the manager position, used inside information on the operating results from the fourth quarter of
Mr. Eakarat Apiwattanaporn Between 19 February, 2016 to 4 March, 2016, Mr. Eakarat Apiwattanaporn who is the foreign fund manager of UOB Asset Management (Thailand) Co., Ltd. (“UOB”) bought UOB