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
, these five unlicensed firms are or used to be located at the same site at 400 Soi Ladprao 94 (Panjamitr), Wangthonglang, Bangkok 10230. From the SEC?s finding, these firms have operated derivatives
explain our 2017’s second quarter operating performance compared to 2016’s second quarter operating performance accordingly as below; Revenue from sales for the second quarter of 2017 and 2016 was for
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
communicating and providing services to clients with details covering the operation specified in Clause 4; 2 (d) having a plan to report the results of the experiment and progress of service provision to the SEC