The rules on margin lending (margin account) which have been in effect since 1997 permit SC to lend money to its customer only for the purpose of purchasing listed securities on a condition that
Granting the Purchasing Right to Provider of Over-Allotment Shares After Allotment of Shares in Excess of Underwriting Amount
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
advice without any core objectives of providing advisory services to other persons regarding derivatives contracts or suitability for purchasing and selling derivatives contracts, based on the amount of
Kongpat, his nephew-in-law, even though he knew or should have known that Kongpat could possibly use such information for purchasing NOBLE shares. Kongpat actually purchased 4,088,600 NOBLE shares during 4
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks