allowed to outsource only to subsidiaries, audit firms, or financial institutions. For instance, outsourcing risk management and compliance will be allowed only to subsidiaries; while the fund investment

securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many

(1992) (SEA); while Usavadee and Perayuth?s actions, as aider and abettor, were in violation of Section 241 of the SEA in conjunction with Section 86 of the Penal Code.As the three persons agreed to enter

certain group of persons had their trading orders, on a continual basis, executed through trading accounts of other persons to lure the public to trade such shares as well while in fact the persons who

applicant and group of parent company.  {A}'s actions were considered as failure to comply with the Notification of the SEC Office concerning approval of financial advisor and scope of performance while {X1

Workshop was where the views and experience in conducting reviews on financial statements were exchanged while mutual understanding in adoption of the International Financial Reporting Standards (IFRS) was

clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the

-year imprisonment each while Ratchasak must reimburse an aggrieved person in the amount of 878,169.19 baht. In addition, Kachen (or Komgrich or Chitsanucha) was sentenced to 8-year imprisonment for

agenda was to discuss fundraising for business expansion, as earlier appeared on a newspaper, was entirely unfounded, while in fact he knew fully well that the fundraising had already been considered by

for further legal proceeding. As a result, Paweena is banned from holding director or executive positions in any securities issuing company while the legal proceedings are underway. In any case, filing