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- Published: Tuesday, 11 November 2014 17:44
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ก.ล.ต. สั่งเพิกถอนผู้แนะนำการลงทุน 2 ราย
ก.ล.ต. สั่งเพิกถอนผู้แนะนำการลงทุนด้
ก.ล.ต. ได้รับเรื่องร้องเรียนโดยตรง และรายงานการตรวจสอบของ บล.เคทีบี กรณีบุคคลภายนอกร้องเรียนผู้
นางสาวปนัดดา ยังยอมรับด้วยว่า ได้ดูแลบัญชีของลูกค้าอีกรายหนึ
สำหรับ กรณีนางสาวบุญญาพร ซึ่ง ก.ล.ต. ให้ บล.เคทีบี ตรวจสอบข้อเท็จจริงเพิ่มเติ
การกระทำดังกล่าวข้างต้นทั้ง (1)การใช้บัญชีหลักทรัพย์ของลูกค้
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*ข้อ 20(1) แห่งประกาศคณะกรรมการกำกั
SEC sanctions two investment consultants
The SEC revoked the approval of Panadda Buraphavijitnon, a capital market investment consultant for ten years, and Boonyaporn Pornkhammaprana (formerly named Lamaiporn Thoblong), a securities investment consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred.
The SEC learned of Panadda case from a complaint filed against her and KTB Securities’ investigation report. From the SEC probe, it was found that the complainant was lured into transferring money into a bank account at KTB Securities for payment of securities trading and collateral placement for a client’s KTB securities trading account. Panadda was responsible for the said trading account and she also had a personal relationship with the client who was the account owner. She had used the client’s PIN number to check the money transferred into the client’s bank account. Moreover, Panadda used her bank account and changed the name of account owner to the client’s name for submission of a request to increase credit line only five days after trading of securities. A number of trading orders were sent with high volumes during a certain period of time without sources of the orders. The client, however, did not reject the transactions. Furthermore, most of internet trading orders were submitted via IP Address of KTB Securities.
Panadda, in addition, admitted that she was responsible for an account of another client whose name was used to open the said account. She withdrew money obtained from securities trading through such account and gave it to Boonyaporn every month. Panadda, moreover, gave her personal saving account to Boonyaporn to amend the name stated on the account to be the client’s. It was also found that Panadda had signed an application to open a securities trading account with a statement indicating that the client had signed the documents to open the securities trading account in witness of an investment consultant. Nonetheless, Boonyaporn admitted that she was the one who processed such application by using the name and signature of a friend of hers.
In case of Boonyaporn, the SEC directed KTB Securities to conduct further probe into the case. As Panadda previously claimed, Boonyaporn admitted that she jointly with Panadda amended the bank account owner’s name to make a request to increase credit line. Boonyaporn also admitted that she used her friend’s name to open a securities trading account where she was the one who filled and signed in the application form. Panadda was responsible for such trading account. Boonyaporn further admitted that she submitted internet trading orders through the said trading account from the IP address of KTB Securities for a certain period of time. She used her own money to trade securities since the account was opened.
(1) Using client’s account to trade securities for one’s own benefits; (2) falsifying name of a bank account for submission of a request to increase credit line; (3) opening a securities trading account by using name and signature of other persons and using such account to trade securities for one’s own benefits; and (4) facilitating a person to open a securities trading account in the name of other persons to trade securities for the benefit of such person were deemed as performing duty with dishonesty under the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as capital market investment consultant in case of Panadda for ten years and the approval as securities investment consultant in case of Boonyaporn for four years and eight months. The revocation will be effective from November 8, 2014.
*Clauses 20(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2012 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of the Notification of Capital Market Supervisory Board No. TorThor/Nor/Khor. 37/2010 re: Prohibitions for Personnel of Business Operators dated September 15, 2010. It was in violation of Clauses 23(1) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2014 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014 which has been promulgated in replacement of the said two notifications.
