trading decisions for the client. From examination of communications records, there was no sources of the orders; just transaction confirmations made by such investment consultant and the conversations
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
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
’ loans, and focused mainly on borrowers with good track records, and existing low-risk customers. 2.2 Market Risk Management During this quarter, the Thai and US interest rates moved in accordance with the
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
Bangkok, September 25, 2014 - The SEC organized ?3rd SEC Working Papers Forum?, jointly with the Faculty of Business Administration and the Faculty of Management Sciences, Kasetsart University