In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to
misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit
former Chief Executive Officer. Therefore http://market.sec.or.th/public/idisc/en/Enforce Criminal Complaint Filed with an Inquiry Official Dated 16/10/2017 misconduct above is deemed an execution of
misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed
information on the misconduct of the five investment consultants. Investors are strongly advised to exercise discretion in making investment decisions and should be aware that fund products come with different
: กฎระเบียบเกี่ยวกับการให้คำแนะนำผลิตภัณฑ์การลงทุน สื่อการเรียนรู้ Online SHARE : Detail Content คลิปการเรียนรู้ : กฎเกณฑ์ที่เกี่ยวกับการให้คำแนะนำผลิตภัณฑ์การลงทุนและกรณีศึกษา
) > สื่อการเรียนรู้ Online : กฎระเบียบเกี่ยวกับการให้คำแนะนำผลิตภัณฑ์การลงทุน สื่อการเรียนรู้ Online SHARE : Detail Content คลิปการเรียนรู้ : กฎเกณฑ์ที่เกี่ยวกับการให้คำแนะนำผลิตภัณฑ์
to strengthen compliance Promote transparency in the initial public offering (IPO) share allocation process ● Required issuers to disclose their allocation methodology and clearly identify in the