investigation, it was found that Niran, a KBANK employee at the time, had solicited a client to purchase units of a mutual fund but did not execute the subscription order for the client. Instead, he
Bowen Reece Co., Ltd. Between August 2001 and 22 May 2003, Bowen Reece Co., Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in
Harvey Dunbar Co., Ltd. Between August 2001 and 22 May 2003, Harvey Dunbar Co., Ltd. with other alleged persons operated securities brokerage business solicited foreign clients to invest in
Desktop Marketing Co.,Ltd. Between August 2001 and 22 May 2003, Desktop Marketing Co.,Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in
Logical Solution Co., Ltd. Between August 2001 and 22 May 2003, Logical Solution Co., Ltd. with other alleged persons operated securities brokerage business and solicited foreign clients to invest in
Mr. Graham Leslie Arthur Peveller Between August 2001 and 22 May 2003, Mr. Graham Leslie Arthur Peveller with other alleged persons operated securities brokerage business and solicited foreign
Mr. Matthew Stanley Pearsall Between August 2001 and 22 May 2003, Mr. Matthew Stanley Pearsall with other alleged persons operated securities brokerage business and solicited foreign clients to
company contacted and solicited the public as well as disseminated related investment documents and information through various channels including website www.ngm-trading.com to lure the investing public
GISP Ltd. GISP Ltd. (GISP) operated derivatives business without license by representing itself to the general public as a gold futures trading agent. The company contacted and solicited the public
Mr. Richard Dunston Malpass Mr. Richard Dunston Malpass (“Mr. Malpass”), resided in Thailand, solicited foreign investors to make investment in mutual fund based on his advice for the sake of tax