. In addition, the SEC has recommended the ASCO to revise its KYC/CDD guidelines as well as propose the guidelines for securities transfer between clients so as to prevent fraudulent activities or
compared with the profit of the last year 332.37 million baht from the sale and transfer of Ownership of land was 293.80 million baht. , operation net profit was 38.57 million baht. The changing over than 20
companies, to buy securities and then transfer them to the aforesaid friend's account.In addition, {A} instructed an investment consultant colleague in charge of a client's securities trading account to make
, increased from the same period of the previous year in the amount of 19.4 million baht due to the transfer of condominium units over the previous year Combined with the location of the assets that generate
and the changes to such holding [From 59] purchased NCAP securities, receive the transfer of warrant and sold NCAP securities from Sutida’s spouse on June 23, 2022, on June 27, 2022 and on October 5
. The major reason is inventories decreased and decrease in land development costs because transferred to cost of sales. And land awaiting for development transfer to land development costs. Total
misappropriated the client's subscription cash payment of 500,000 baht for his own use. He then ordered his subordinate to transfer units of another mutual fund held by the same client into the solicited fund by
. Regarding the share transfer case, Auracha, then an invesment consultant at AEC, was found transfering shares in the client's trading account into her mother's account for her own benefits. Such share
negligent with regard to supervision of the company?s core work systems. Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s
companies from accepting orders of purchase, transfer or exchange of securities that would result in Thai investors gaining more possessions of NVDR unless in the case where the rights arise from holding NVDR