for such trading was made from the client account by {A} without the knowledge of the client.The {B} case was also lodged by an investor. The SEC's finding from an examination of conversation records

her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November

, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts

transactions, concealing such B/E sale by omitting the sale transactions from the company’s accounting records, and concealing the fraud by extending the maturity terms of such B/E issues several times. The

account for receiving the B/E transfer transactions, concealing such B/E sale by omitting the sale transactions from the company’s accounting records, and concealing the fraud by extending the maturity

, misappropriate the company's assets and seek wrongful gains, causing damage to IEC and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts

behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the

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ในตลาดหลักทรัพย์ ที่ปรึกษาทางการเงิน/ผู้ควบคุม : - สัญลักษณ์ : BGRI01P2209A   หนังสือชี้ชวน หัวข้อ Filing            Filing 69-DW-Full Download all files           ปกหน้า 01-04-2022           Factsheet

ขายในตลาดหลักทรัพย์ ที่ปรึกษาทางการเงิน/ผู้ควบคุม : - สัญลักษณ์ : BLA01C2208A   หนังสือชี้ชวน หัวข้อ Filing            Filing 69-DW-Full Download all files           ปกหน้า 01-04-2022