The revocation followed Apple Wealth Securities’ inspection report regarding three clients’ complaints against Nutnicha and the SEC’s further investigation, which revealed Nutnicha’s misconduct as
the time of the misconduct from 2015 to 2017 holding the positions of director and executive of NMG – made a joint decision to approve, order and arrange a recording of false advertising income in the
Market and Related Entities Enforcement Class https://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/CLASSACTION.aspx English (United States) Market Misconduct Infrastructure Trust Digital Asset Business
Trust Digital Asset Business Operators Secondary Market and Related Entities Enforcement Class https://www.sec.or.th/EN/Pages/LAWANDREGULATIONS/CLASSACTION.aspx English (United States) Market Misconduct
Bangkok, 19 October 2017, The SEC has notified Group Lease Public Company Limited (GL) that failure to correct its financial statements promptly may be deemed a misconduct in violation of the
found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and
misconduct occurred. The SEC also suspended the approval of investment planner and the performance of duty as the capital market personnel. *Clause 20(3) of the Notification of Capital Market Supervisory Board
from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
misconduct was deemed taking an unfair advantage of other persons in violation of Section 241 and liable to penalties under Section 296 of the Securities and Exchange Act. The Criminal Fining Committee has