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the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
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trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
prepare and submit the accurate financial statement for the year 2016 specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty
prepare and submit the accurate annual registration statement for the year 2016 (Form 56-1) specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction
prepare and submit the accurate annual report for the year 2016 (Form 56-2) specified by the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is a duty
financial statements for Q1/2017 and Q2/2017 within the period specified in the notification resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC