the requesting and using of investor’s account for personal trading, even with the investor’s consent. Such conduct is deemed a prohibited characteristic for capital market business personnel under the
other past behaviors demonstrating inappropriateness for acting as capital market business personnel. Investors are strongly advised to always verify transaction confirmation documents to make sure
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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
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
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
&rows=10 1 - 10 of 1,840 results Sort by: Relevance Date (Newest) Date (Oldest) Template มาตรการขับเคลื่อนตลาดทุน ’ expectations. 7 Stock Market 1% 10% 10% 11% 17% 20% 25% 28% 38% 110% 11% 0% 20% 40% 60