seeking unfair benefits from investor by taking advantage of her duty performance. In addition, during May 2018, {A} failed to execute the client’s order to buy shares of a company and did not inform the
of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore sanctioned three investment consultants as follows: 1. Suspended {A} from her
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