Following the investor’s complaint and SEC’s further investigation, it was found that Somchai had committed wrongful acts against the investor’s assets. In so doing, he withdrew money from the client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while...
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription transactions as originally intended by the investors in the following business day. Instead, he spent the sub...
Reporting Person : - | Type of securities : - | Date of reporting obligation : 15/02/2008
Reporting Person : - | Type of securities : - | Date of reporting obligation : 22/06/2016
Reporting Person : - | Type of securities : - | Date of reporting obligation : 07/12/2007
Reporting Person : - | Type of securities : - | Date of reporting obligation : 07/12/2007
Reporting Person : - | Type of securities : - | Date of reporting obligation : 11/12/2007
Reporting Person : - | Type of securities : - | Date of reporting obligation : 20/01/2017
Reporting Person : - | Type of securities : - | Date of reporting obligation : 29/01/2015
Reporting Person : - | Type of securities : - | Date of reporting obligation : 01/02/2010