? assets and using a client's trading account to trade securities for his own interest.Following Apple Wealth's inspection report related to clients? complaints against Sakkarin and the SEC's further
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
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
. Outsourcing does not have a huge amount of service providers, resulting to a situation where outsourcee cannot be employed immediately, and this might lead to an effect regarding the capital market. Business
SEC Secretary-General Rapee Sucharitakul said that there had been several fraud cases regarding investment in digital assets which might result in a huge loss for investors. This led to the
listed companies have sold or planned to sell their assets to mutual funds or REITs. The transactions are usually huge in size and value and some of them allow listed companies or subsidiaries to lease
client to suffer huge loss. The source of those trading orders was not found and the client, once being informed of the trading, rejected those transactions.Failure to completely record client's trading
Areas” program since June 2019, including 5 provinces, Nakhon Sawan, Khon Kaen, Nakhon Si Thammarat, Udon Thani, and Chiang Mai, which had received a huge amount of attention from the local public.At