Bangkok, March 21-SEC revokes investment advisor approval Miss Naruon Choksirirungruang (Ms. Naruon) for 6 years and 8 months in case of misconduct against the investor’s property. While committing an offense under Krung Thai Bank Public Company Limited
The Office of the Securities and Exchange Commission (SEC) received a report from Krung Thai Bank and further investigation found that between 2014 and 2021, Ms. Narue-on acted incorrectly on the property of investors. by secretly selling investment units of many clients continuously by secretly using the code of other employees to approve the sale of investment units and withdraw money for the sale of investment units Including forging the customer’s signature in the sales order and withdrawal slip for the sale of investment units causing the customer to receive a total damage of 3,506,112.49 baht
The SEC considered that Ms. Naruron’s actions are not performing duties or providing services with honesty. which is a prohibited characteristic of personnel in the capital market according to the announcement of the Capital Market Supervisory Board. Approval of Ms. Naruen to continue being a personnel in the capital market business for 6 years and 8 months from March 22, 2023.
In determining the aforementioned period, the SEC has taken into account the following factors: roles, involvement and behavior of the person under consideration. Punishment that the person has already received. Effects. Damage or benefits that occur. corrections or other actions that benefit or obstruct the operation of the SEC, and any other history or past behaviors indicating inappropriateness to be personnel in the capital market business.
SEC urges investors to review investment unit holding reports Check your deposit account regularly. If you find a trade or withdrawal that you do not order, you should reject or protest immediately to prevent possible damage. And if in doubt, should contact the service company. or inquire at “SEC Public Service Center”, call 1207 or Facebook page “SEC Office” or SEC Live Chat at the SEC website – Thai News Agency
Source: Thai News Agency