Type of securities : Common share | Effective Date : 20/03/2017 | Close Selling Date : 27/03/2017
ประเภทหลักทรัพย์ : หุ้นสามัญ | วันที่มีผลใช้บังคับ : 20/03/2560 | วันที่ปิดการขาย : 27/03/2560
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
; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting
; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client; (9) having a system for protecting the
; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client; (9) having a system for protecting the
1 Factsheet 20 #$%& 2566 ก #*+, &-%*&. ก$%#*/ 1 7 2#3 ก / กก • 2#3 ก : ก / %% / ก 6 ก$%#*/7 / ก 899, % # &/% 2# : • กก : Miscellaneous A&9%&82ก& B.ก% • ก C2 Dก -&. -&.*#E
follows: (1) During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She
)ก , ก:/ $$ 9 )$, ; 95/ /$ 5) < B*,D5 ;/ $$ 6$ F 95/ F#$ก#D 95/ G$:ก$ )# 95/ 6$)ก 95/ )#H$ก GI/ $$ ;* ก B,:$,ก$ 4; net exposure )ก , ก:$) ,/$ 5)
+*, +*,#'B 'ก * ก8- $$ 7 '$*A -$ .' / >(*@. A - $$ 4$ C 7./ C#$ก#@ 7./ D$8ก$ '# 7./ 4$'ก DE- $$ A( '$*A-$ .' / 7./ '#F$ก-$ .' / 7. ก$ 3A net exposure 'ก * ก8$' *-$ .' / >(*'J *A 8 8 $กก$ ' $ก8 *. 80