the client. Her actions were therefore deemed as interfering with client's assets and failing to comply with professional standards of conduct. On {B} case, the SEC received a client's complaint stating
SUPER were of opinion that the acquisition price and transaction were appropriate and beneficial to the company. Nonetheless, independent financial adviser ("IFA") viewed that the acquisition price
machinery for plastic waste fuel refinery project. The said persons were {A}, {B} and {C}, ex-directors and executives of PRO, and {D}, Managing Director of Therm Engineering Co., Ltd. Their actions were in
trading orders were submitted via LINE.Failure to keep complete record of the securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of
contracts not prepared in accordance with its accounting policy. Besides, the accounting system and internal controls regarding the construction cost reports were not followed which may affect the accuracy
course of business. As a matter of fact such revenues were classified as other incomes from acting as agent for selling of goods and rendering services. The revenues were not generated from the actual
accounting policy. Besides, the accounting system and internal controls regarding the construction cost reports were not followed which may affect the accuracy of the financial statements. In addition, TIES
client and {A} indicated that the client may have entrusted {A} to make decisions on securities and derivatives trading for the client whose trading orders were unclear, and that {A} had made trading
to 2.85 million shares or an increase of 5.95 percent. These were done continuously in concealment to mislead and induce the investing public into the trading. The acts of Pimpa and Nophadol were
trading room. He failed to keep all clients' trading orders and some trading orders were made after the trades were executed. In addition, {A} has already been suspended by Hua Seng Heng Gold Futures Co