ณราคารับซื้อคืนหนวยลงทุนไมถูกตองแบบมีนัยสําคัญ (incorrect pricing) (ขอ 27) เหตุผล เนื่องจากเกณฑปจจบุันกําหนดวา เมื่อเกิดกรณี incorrect pricing ใหหยุดรับคําสั่ง (ขอ 27) จึงเห็นควรกําหนดเพิ่ม
documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or
incomplete or incorrect information to the investor and failing to give or disclose material information that may have affected the investor's decision making, {A} failed to perform duty with responsibility
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry Official Dated 30/06/2005 control rent gas tanks from PICNI and made false entries in the accounting document with an intention to
and act in order to obtain unlawful http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry Official Dated 17/04/2018 or part payment and made false entries or failed to
money back together with the capital gain, at the amount of 341,100 baht. The client believed Sakkarin's false claim to be true because an approximately similar amount of money had been transferred to the
Earlier, the SEC filed a criminal complaint against the 10 entities with the Department of Special Investigation (DSI) on account of fabricating financial statements, disclosing false information in
services with loyalty* by concealing, hiding and fabricating false evidence, and therefore revoked the approval and will not accept her future application for approval as personnel in the capital market
consultant, had misappropriated clients’ money by withdrawing money from the clients’ banking accounts without executing the transactions that the clients had made. Besides, she made false evidence by forging