true owners of such right suffered damage; however, Krungthai Zmico has already returned the right to the IPO allocation to the clients. Niparporn’s misconduct against investors’ assets is deemed failure

tricking the client to sign on a unit transfer order that was falsefully presented to the client as the subscription order for the units of the solicited fund.Niran's misconduct was deemed a failure to

for investigations and inspections of capital market-related malpractices, which has facilitated and expedited the procedures, contributing to an enhanced efficiency in taking enforcement actions. The

wrongdoing against a client’s assets by (1) using the client’s credit card to withdraw cash and spending the money for her own personal use, (2) replacing the client’s banking account contact information

: Approval for Investor Contacts and Standards of Conduct dated 14 October 2009. The SEC considered the said persons? misconduct as severe wrongdoing and deemed unfit to perform the duty as investor contact

accounts to seek benefits for himself and the others, a misconduct of client asset exploitation. At the time of his wrongdoing, he was employed by RHB Securities (Thailand) PLC (RHB).Following a complaint

benefactors, and thus weakened the prevention of improper client activities. Under such circumstance, if a client committed any wrongdoing, the company could be deemed to have supported or participated in such

B.E. 2535 (1992). By committing the aforesaid act with a wrongdoing intent, Wichai benefited from the results of the election. Such misconduct is therefore liable to dishonest performance of duty

constituting a violation of Section 246 of the SEC as well.In this regard, with thorough consideration, the SEC has viewed that the misconduct of this group of wrongdoers followed a systematic pattern

client assets for personal gains by having his clients transferred payment for subscription of mutual fund investment units as well as their deposits into his own account. At the time of his wrongdoing