knowledge and understanding in capital market products and services before making investment decision. Those questions include ?What are the risks and rewards of the investment??; ?What kinds of investors are

7.5 percent). Thus, it was considered that Chonburi Kanyong did not transfer risks and material benefits from the property ownership to the buyer. CCP must submit the corrected financial statements

approved transactions and prevented risks to the fund.  In addition, Maris inappropriately approved a fund payment and such amount of money was transferred to Burim without any reasonable ground to support

comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable interest rate. Moreover, ACAP obtains benefit from the lower

comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable interest rate. Moreover, ACAP obtains benefit from the lower

comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable interest rate. Moreover, ACAP obtains benefit from the lower

comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable interest rate. Moreover, ACAP obtains benefit from the lower

comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable interest rate. Moreover, ACAP obtains benefit from the lower

with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable interest rate. Moreover, ACAP obtains benefit from the lower interest

. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures