follows: (1) During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She
of conduct. 1) In case of {A}: the SEC obtained from Kim Eng Securities (Thailand) Plc. a report on its investigation in response to a complaint lodged by a client. {A} admitted that during the year
colluded with Somchai Chaisrichawla in manipulating the share price of Asia Metal Plc. (AMC) from September 13 to November 16, 2006. In this regard, she had provided Somchai with two client trading accounts
trading to the client. She also had the trader's name card made under the company's name and position of marketing officer, misleading the client to believe that such trader was an SEC approved investor
{A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
due to the Company expanding its service to launch a new project for a client, a mobile operator group, offset by decreasing income from another existing project. Gross profit was Baht 11.6 million
operators warnings regarding client asset keeping on their websites and applications.The SEC views that digital asset investors should receive notifications in order to be aware of and able to use or store
digital asset business operators warnings regarding client asset keeping on their websites and applications.The SEC views that digital asset investors should receive notifications in order to be aware of