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transferred to Apple Wealth when in fact Sakkarin had never purchased any shares for the client in the first place. He made up false documents and misled the client that such share transfer did occur. Moreover
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in fact the company had already been listed and its shares were being on Suspension Trading (SP) sign. Moreover, he failed to give relevant documents to the client before the client decided to invest
Office of the Securities and Exchange Commission No. SorChor. 37/2551 Re: Application Form and Supporting Documents for Offer for Sale of Newly Issued Share Warrants and Underlying Shares By virtue of
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
. Such acts were done by falsifying documents relating to the trading of investment units of funds and documents relating to cash withdrawals, with the intention of deceiving clients that the investment
funding sources.SEC found that one of the problems and difficulties that prevent SMEs from accessing funds in the capital market is the laws and rules concerning fund mobilization, which cause unnecessary