consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and
then asked the client to transfer the subscription money into her own banking account without actually using the money to buy such shares for the client; (2) In July 2017, Nutnicha borrowed shares of
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
., is suspended for three months for failing to take care of a client's account, and instead assigning her subordinate who was an authorized trader to contact, solicit and give advice on securities
personnel for 10 years. (2) {B} , an investor contact of KTB Securities Co., Ltd., aided other persons in sending trading orders of TRAF shares in a manipulative manner. She was fined for her assistance in
) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading
(Thailand) detected such dishonest behaviors and consequently terminated her employment and demanded that she pay compensations to all of the inflicted cilents. Pornthip?s misconducts were deeemed dishonest
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
his dividend payment unless his securities were transferred to another person?s account. She then transferred the client?s five stocks worth 5 million baht at the time into her own account and three
, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya, and Kingkarn whose beneficiary in her securities account was Praphol, colluded to trade big lots of KIAT shares several times at