. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya
, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya, and Kingkarn whose
bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions
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