securities investment consultants, had committed wrongful acts against clients at various branch offices as follows:                  (1)  In the case of Miss Surasa Mungthaworn, it was found that she had

violation specified in the Notification of the Capital Market Supervisory Board.*  The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned

. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for

THE BANK OF TOKYO-MITSUBISHI UFJ,LTD., BANGKOK BRANCH | Year 2015