investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he
result of which failed to identify Wichai?s dishonest acts occurred in the following period of time. In addition, Jadesada did not cautiously verify the existence of Wichai?s assets claimed to be sold for
manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions
specified period of time depending on severity of behavior.
to March 27, 2009, Maris, then ING Funds managing director and T.U. Dome fund manager, and Burim, also T.U. Dome fund manager at that time, had performed their duties dishonestly by proceeding for T.U
starting from relatively low risk securities to products that are more complicated. This allows investors and business operators time to test the water, sharpen their skills and make adjustments in
. Earlier, he had arranged for ZMICO to invest in shares of a listed company at the price not exceeding 20 baht per share which was very much higher than the market price at that time. He subsequently
a fine on him in the amount of 5,420,324 baht.In addition, Sermkhun did not file with the SEC the reports on changes of his CMO shareholding within the specified period of time despite the fact that
well as other social media, to invest in securities or futures. The solicitation was made with a promise to manage investment to achieve high rate of returns within a short period of time, providing that