director of the company purchasing the NUSA condominium units, assisted persons under (1) – (4) in committing the offenses. The SEC’s findings revealed that the deposit for the purchase of the hotel above
basis.This initiative also complements a similar initiative by the International Forum of Independent Audit Regulators (IFIAR) in March 2016 to achieve a targeted reduction in audit inspection findings
Sungwalram(4) Ms. Thanaporn Suwannapong (also branch manager)(5) Mrs. Pranee Rodyindee and(6) Ms. Dok-or ChotanaThe SEC's findings have also revealed that two other investment consultants, namely (7) Ms
suspicious trading behaviors of a UBS employee who was responsible for executing securities trading for or on behalf of its clients, all of which are institutional clients. According to the SEC findings
the investment in S-TREK and capital increase and the allocation of newly-issued shares in relation to the investment in S-TREK. This results from the fact that after the Board of Directors’ Meeting No