follows: (1) During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She
of conduct. 1) In case of {A}: the SEC obtained from Kim Eng Securities (Thailand) Plc. a report on its investigation in response to a complaint lodged by a client. {A} admitted that during the year
colluded with Somchai Chaisrichawla in manipulating the share price of Asia Metal Plc. (AMC) from September 13 to November 16, 2006. In this regard, she had provided Somchai with two client trading accounts
evidence regarding the fair value measurement of the shares, both those settled by the buyer from the sale of the Group’s investment in a subsidiary and those originally held by the Group from the adjustment
, both those settled by the buyer from the sale of the Group’s investment in a subsidiary and those originally held by the Group from the adjustment in value of the investment in the shares of the buyer at
trading to the client. She also had the trader's name card made under the company's name and position of marketing officer, misleading the client to believe that such trader was an SEC approved investor
{A} had solicited a client to invest in derivatives products by guaranteeing returns; the client agreed to the deal and allowed him to make investment decisions on the client's behalf. Later, he was
work systems of AEC, especially the Know-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the
the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund having medium to high risk
investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of (1) and (2), {A} affixed her signature as the investment consultant for a person who was not her client