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

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 13/05/2002 - 13/05/2002

FINANSA ASSET MANAGEMENT COMPANY LIMITED| ,Foreign Investment Fund : FIF,Specific Fund | Offering Date : 01/01/2009 - 19/08/2009

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Feeder Fund | Offering Date : 09/11/2015 - 13/11/2015

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Feeder Fund | Offering Date : 23/11/2015 - 27/11/2015

FIRST PLUS ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Feeder Fund ,Super Savings Fund : SSF | Offering Date : 21/03/2022 - 29/03/2022

without double-checking the correctness of processing and confirming the redemption orders in violation of the tax terms.SEC found the three investment consultants to have failed to perform duties with

, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard

provide securities trading service to the account owner or submit trading orders of the written authorized persons action were deemed failure to perform duties which were in violation of the Notification of

deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and