According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the 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 as originally intended by the investor. In so doing, she made and sent false documents to the invest...
According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A} assured his colleague that it was the client’s decision. Therefore, the transaction had been execute...
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 : 10/11/2010
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 : 09/04/2015
Reporting Person : - | Type of securities : - | Date of reporting obligation : 20/05/2008