differed from what was discussed with the SEC or existed during a different timeframe from the time when the SEC considered the matter. Such use is considered to be for wrong purposes. Therefore, the SEC
probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client
and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the
where debt issuers have used the channel for offering to a limited number of investors for the wrong purpose by extending such offer to high net worth investors who knew little information on the issuer
periods as well as popular funds seem to considerably attract more investment money than others. Unfortunately, most investors tend to buy high and sell low, getting caught in a wrong market timing. It is
the account for the wrong purpose in contrary to the terms of service, and take action on the client who fails to comply with the terms of service, which shall include temporary suspension or
เติมพบว่า {ก} ไม่แจ้งหลักเกณฑ์ Volatile Stock ซึ่งเป็นข้อปฏิบัติเกี่ยวกับข้อมูลความเสี่ยงของหลักทรัพย์บางหลักทรัพย์ และภาระหน้าที่ในการชำระเงินค่าซื้อหลักทรัพย์ดังกล่าวให้ลูกค้าทราบก่อนที่ลูกค้าสั่งซื้อ
of by unfair business operations. However, other types of risks are also present, such as business risks of entities and the risk due to volatile prices of digital assets.Lastly, “Knowing SEC’s
market. Nonetheless, the highly volatile environment has led some investors to redeem their investment units from bond mutual funds. This has forced some bond mutual funds to liquidate their bond