, 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
Bangkok, February 13, 2015 ?Current regulations prescribe that a mutual fund must be dissolved if more than two-third of all the units sold were redeemed. The rationale behind the said regulations is
personal use, and (3) redeeming investment units in the client’s mutual fund portfolios through the bank’s internet banking and transferring the fund from the unit redemption to her own banking account
selling clients’ investment units in multiple transactions. She illicitly used other employees’ login credentials to approve the redemption of investment units and the withdrawal of redemption proceeds
percent of the total number of voting rights of DIGI and on December 26, 2018 he acquired DIGI warrant (DIGI-W2) in the amount of 868,314,297 units which equaled to 10.99 percent of the total number of
from DAOLS’ failure to exercise due care and diligence in protecting the interests of the bondholders, including failing to verify existing encumbrances on the condominium units serving as collateral
FL 2024 CO., LTD. FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, had duties to
FL 2024 CO., LTD. FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) a company licensed Securities Brokerage : Investment Units, failed to comply