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
incident shall be liable for Bitazza’s violation of the law by conducting a digital asset exchange without a license together with Bitazza International Limited resulted from his instructions or actions
, Mr. PUTT failed to give the necessary instructions or take the actions required in the performance of such duties. Accordingly, Mr. PUTT is liable for LTS’s late preparation and submission of its
necessary instructions or take the actions required in the performance of such duties. Accordingly, Mr. THARATHORN is liable for SNW’s late preparation and submission of its annual financial statements for
necessary instructions or take the actions required in the performance of such duties. Accordingly, Mr. THARATHORN is liable for SNW’s late preparation and submission of its Key Financial Ratio Report for the
necessary instructions or take the actions required in the performance of such duties. Accordingly, Mr. THARATHORN is liable for SNW’s late preparation and submission of its Financial Highlights Report for
instructions or take the actions required in the performance of such duties. Accordingly, Mr. THARATHORN is liable for SNW’s late preparation and submission of its Financial Covenants Report for the year 2024
;EA"). His duty was to oversee and ensure that EA’s offering for sale of securities complied with the law. However, Mr. Amorn failed to issue instructions or perform the necessary duties required
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him