Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders
The revocation followed Apple Wealth Securities’ inspection report regarding three clients’ complaints against Nutnicha and the SEC’s further investigation, which revealed Nutnicha’s misconduct as
respond to investors? demands and enhance investors? protection. SEC Assistant Secretary-General Duangmon Chuengsatiansup said: "investment consultants are required to have their clients take a suitability
centers or hotels. And importantly, unlicensed business operators move their offices all the times without notifying their clients to avoid the clients? contact to redeem or withdraw their investment. The
main factor that company increased the net profit was expanded the market and increased new clients. It could let the revenue increased by 9% (6% from Asia region, 2% from Europe region and 1% from
services to clients with details covering the operation specified in Clause 5; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuing
throughout the period of participating in the regulatory sandbox; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing services to clients
communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC