record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international certified public accountants, prohibited

investor contact for one month, starting from August 10, 2011 and reprimands {B} and {C} on their actions and records their misconducts for reference in case they do not comply with the standards of conduct

2007 to August 2010, she had traded securities through the client's account as she realized that the client did not check his trading records. In case of losses or making payment for purchase, she will

Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip

market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders.  He

e-service Online Submission See canceled document Securities Borrowing and Lending >> Accounting and Records (section 105)   Type Title Section See Document Status Notified Date Effective Date 1. Act

concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed http://market.sec.or.th/public/idisc/en

penetration testing frequency to once every three years, increasing controls for generic user accounts, and maintaining incident records for at least two years with root cause analysis;     (4) To adjust the

value of each year for the last three years, and trading suspension records;(5) To prepare financial statements for the past three years and the latest quarter in accordance with  the determined

securities for the client's account. Besides, communication records between {A} and his client showed his promise to payback. Making trading decisions on securities in the client's account without the client's