than the appraised price based on the market approach. They also colluded to act dishonestly in selling NUSA condominium units in Bangkok at a price lower than the appraised price and transferring funds
penalized {B} by transferring her to perform duties unrelated to provision of services for sales of securities products from 25 December 2018 to 16 April 2020, which exceeded the penalty period imposed by
. Apichart Chansakulporn, Miss Bongkorn Chansakulporn, and Mr. Sorawit Chansakulporn, has benefited from the use of the mechanism of the Stock Exchange in transferring the ownership of Kitha Properties from
decisions for investors, while Nitchawan interfered with investors? assets by withdrawing and transferring securities of investors.Both offenders violated or failed to comply with the rules on capital market
deceive the company into transferring money to his and other persons? banking accounts as well as embezzling the company?s securities and money obtained from selling NIPPON?s investment units at the total
usually represented themselves as agents of foreign derivatives brokers licensed by foreign regulators and thus required no authorization from the SEC. Falling into the trap by transferring money to these
further probe revealed that she interfered with a client's asset by transferring cash into the client's account. {C} admitted that she had done so to take responsibility for the client's investment loss due
KTB Securities? investigation report. From the SEC probe, it was found that the complainant was lured into transferring money into a bank account at KTB Securities for payment of securities trading and
ของลูกค้า เพื่อวัตถุประสงค์ดังนี้ (1) ท าความรู้จักลูกค้า (2) จัดกลุ่มประเภทลูกค้า (3) ประเมินความเหมาะสมในการลงทุนหรือการท าธุรกรรม (suitability test) (4) พิจารณาความสามารถของลูกค้าในการปฏิบัติตามข้อ
”) การขยายวงเงินการช าระเงินค่าขายคืนหน่วยลงทุน ในวันส่งค าสั่งขายคืนหน่วยลงทุน (วันที่ T) การยกเว้นการประเมิน suitability test ของผู้ลงทุน หากผู้ประกอบธุรกิจเสนอขายเฉพาะผลิตภัณฑ์ที่มีระดับความเสี่ยงต่ า