Asian Investment Analyst
นักวิเคราะห์การลงทุนอาเซี่ยน
which harsh punishment could be imposed and there are reasonable grounds to believe that the offenders would remove or dispose of their properties, the SEC, by virtue of the first paragraph of Section 267
transfers from the client?s account, which was deemed severe misconducts in contravention of the standards of conduct under Clause 11(1) of the Notification of the Office of the Securities and Exchange
decision was based on the SEC?s findings of Wanvadee?s severe wrongful actions as follows: 1. Deceiving investors that she would open trading accounts for them and then asking them to transfer money to her
11(1) and (2) of the SEC Notification No. SorKhor 15/2548 Regarding the Approval of Investor Contacts and Standards of Conduct dated 21 June 2005. Owing to such severe offences, the SEC deemed
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