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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
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
clients who suffered substantial damage from her misconduct which she avoided to acknowledge. This is a case of severe wrongdoing. The SEC, therefore, bans Napasanan from being an investor conduct in the
client?s account and concealed her wrongdoing to deceive the client. Her actions contravene Clauses 11(1) and (2) of the Notification of the Office of the Securities and Exchange Commission No. SorKhor. 15
: 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
Patheepoungrattana, and Suwattana Churuangsook for being the supporters of the aforesaid wrongdoing. The Stock Exchange of Thailand reported to the SEC that the CIG trading transactions during February 3 ? July
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
Conduct dated 21 June 2005. As Kunakorn?s misconduct was deemed a carefully laid plan to deceive the client, without evidence of remedies for substantial damage or compensation paid to the client, a severe