Post by account_disabled on Dec 24, 2023 4:27:09 GMT
The SEC ordered the revocation of Mr. Patthanadon's investment advisor approval. Dejrattanatrakul and prohibited from being personnel in the capital market business for 6 years and 3 months in the case of committing an offense against investor property While committing the offense during September - October 2017, he was affiliated with KGI Securities (Thailand) Public Company Limited, and while committing the offense during July 2019, he was not affiliated with the Securities and Exchange Commission (SEC). Received complaints from customers and further investigated and found that Between September 2017 - July 2019, Mr. Patthanon persuaded two customers.
To buy shares issued for initial public offering (IPO) of several companies and persuaded them to invest in futures contracts. and had the customer transfer money into his own savings account, totaling 358,000 baht, claiming that Phone Number List he had deposited the said shares into the accounts of other customers and his own father's account But Mr. Patthanadon did not actually buy stocks or futures contracts. As a result, customers do not receive shares and do not receive refunds. The above actions of Mr. Patthanadon It is an act of misconduct against investors' assets. This is a failure to perform duties or provide services with honesty and integrity in accordance with the announcement of the Capital Market Supervisory Board*. The SEC therefore revokes approval to be an investment advisor for complex instruments, and will consider the request for approval.
Agreed to be personnel in the capital market business of Mr. Patthanadon After the period of 6 years and 3 months has elapsed since September 11, 2020, the SEC would like to remind investors to use caution. Do not fall for the investment adviser's invitation to transfer the purchase price of stocks and futures contracts into the investment adviser's personal account. Because it may be a channel for corruption and you may lose a lot of money. In the case of transferring money for purchasing shares and futures contracts Investors must transfer money into the account of the parent securities company only. *Section 23(1) and this is a prohibited characteristic of personnel in.
To buy shares issued for initial public offering (IPO) of several companies and persuaded them to invest in futures contracts. and had the customer transfer money into his own savings account, totaling 358,000 baht, claiming that Phone Number List he had deposited the said shares into the accounts of other customers and his own father's account But Mr. Patthanadon did not actually buy stocks or futures contracts. As a result, customers do not receive shares and do not receive refunds. The above actions of Mr. Patthanadon It is an act of misconduct against investors' assets. This is a failure to perform duties or provide services with honesty and integrity in accordance with the announcement of the Capital Market Supervisory Board*. The SEC therefore revokes approval to be an investment advisor for complex instruments, and will consider the request for approval.
Agreed to be personnel in the capital market business of Mr. Patthanadon After the period of 6 years and 3 months has elapsed since September 11, 2020, the SEC would like to remind investors to use caution. Do not fall for the investment adviser's invitation to transfer the purchase price of stocks and futures contracts into the investment adviser's personal account. Because it may be a channel for corruption and you may lose a lot of money. In the case of transferring money for purchasing shares and futures contracts Investors must transfer money into the account of the parent securities company only. *Section 23(1) and this is a prohibited characteristic of personnel in.