of securities public offering ("the applicant") as follows: 1. Incomplete disclosure concerning reliance on the applicant?s major counterparties, which might have been misleading. The applicant?s

misleading information. It also must not rush investors into decision making within a limited timeframe and not mislead or guarantee investment return. If related to sales promotion, the information on

of predicate offenses under the Anti-Money Laundering Act to include the offense relating to unfair securities trading under the Securities and Exchange Act; comprising imparting false or misleading

have strong financial product knowledge. Moreover, financial product advertisements are subject to the regulations so the advertisements must not distract or lure the customers and cause misleading about

>> Procedure for Incorrect Pricing   Type Title Section See Document Status Notified Date Effective Date 1. Act   Securities and Exchange Act 2535   117 12/03/1992 16/05/1992    Contact The Securities and

company. This is to help prevent any deficiencies and mitigate the risk of issuing incorrect financial statements;Selecting auditors with quality and expertise by assessing audit quality aspect rather

misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed

case and found that the above eight persons had jointly acted, or colluded, or aided and abetted the falsification of AMAC?s documents and accounts or preparation of incorrect 2008 and 2009 financial

, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records. The nine offenders are: (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director

) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11