consideration that {A} failed to perform his duties responsibly with professional due care when he accepted the investor’s assignment to make trading decisions for the investor. Consequently, {A} was deemed to

misconduct above – taking the investor’s assignment to make decisions on trading of securities and derivatives and fabricating that certain derivatives trading orders were sent by the investor – was deemed

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund,Retirement Mutual Fund : RMF | Offering Date : 24/11/2003 - 12/12/2003

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund,Retirement Mutual Fund : RMF | Offering Date : 25/11/2002 - 13/12/2002

PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund | Offering Date : 12/10/2007 - 19/10/2007

KIATNAKIN PHATRA ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund | Offering Date : 17/10/2007 - 31/10/2007

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund,Retirement Mutual Fund : RMF | Offering Date : 29/11/2006 - 19/12/2006

THAI ASSET MANAGEMENT COMPANY LIMITED|Capital Protected Fund

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund,Retirement Mutual Fund : RMF | Offering Date : 24/11/2004 - 14/12/2004

UOB ASSET MANAGEMENT (THAILAND) COMPANY LIMITED|Capital Protected Fund | Offering Date : 08/10/2012 - 12/10/2012