ส่งรายงานแสดงทรัพย์สินของลูกค้าและใบยืนยันรายการซื้อขาย (confirmation statement) 23/01/2552   หนังสือเวียน ที่ กลต.ธ.(ว) 54/2549 เรื่อง การซักซ้อมความเข้าใจกรณีการแจ้งรายชื่อเจ้าของหลักทรัพย์กรณีที่มี

transaction confirmation evidence that must be issued by the responsible asset management company or the selling agent bank only. In case of doubts, immediate contact with the compliance unit is recommended

case, investors should check the records of transaction confirmation regularly to make sure that they are properly issued by the securities companies in charge. In case of suspicious incidents

make trading orders on his or her behalf, the investor must issue a written power of attorney and should examine the trading confirmation documents regularly. _____________________________ * Clause 23

and transfer securities in the clients? accounts into those of other clients who were related to herself to seek personal gains.In addition, Pornthip filled in different confirmation phone numbers on

for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and

revenue was not a result of the company?s actual business. When combining with the 10.5 million baht indicated in the complaint previously filed with the DSI, the total falsified revenue jumped to 51

committing or permitting another to act so as to falsify the accounts of GSTEL and GLS by making false entries concerning the purchase of raw materials from overseas suppliers materially lower than the actual

for purchasing shares of a company higher than actual value causing damage to POWER. Additionally, he permitted others to falsify entries in the accounts and documents of POWER. On March 30, 2015, the

securities, in fact almost every day, resulting in a high trading volume. {C} admitted that the client permitted him to make trading decision without the client's confirmation or with post-trading confirmation