revocation of her license as a life insurance broker and agent on account of performing duties dishonestly when she failed to forward premium money of 1 million baht she had received from a client to the
The Securities and Exchange Commission (SEC), with the reports from the Krungthai Bank PLC and the SEC’s further investigation, found that in November 2021 Saowarat had misappropriated her client
the client securities trading account as collateral. In this case, {A} had continuously done day trading of client securities for 25 working days worth approximately 109 million baht, resulting in her
ชื่อผู้ได้มา/จำหน่าย :?WORTH ACCESS TRADING LIMITED | ประเภทหลักทรัพย์ : หุ้น | วันที่มีหน้าที่ : 05/09/2557
months; however, since the approval period of the investment consultant will expire on 31 December 2020, SEC has decided to suspend her approval from 6 March 2020 to 31 December 2020. In addition, SEC
) 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
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
liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to
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