} frequently failed to record his clients' securities trading orders as the same as {B} case as reported by his employer Phara Securities Plc. Both persons admitted that they took those orders via mobile phone
probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client
and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
delay.According to the auditor?s report, accounting policies were improperly used in the annual financial statements for the year 2014, whereby Smart Traffic Co., Ltd., an EIC affiliate, failed to record allowance
Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the
from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she
voting rights of JAS which caused his aggregated holdings of JAS shares to exceed 50 percent. The amount of his holdings of JAS was a significant degree of control of JTS. However, Mr. Pete failed to
and January 20, 2025, Merkle failed to comply with the rules, conditions, and procedures stipulated in the relevant notification. In this regard, Merkle failed to provide appropriate internal systems
jointly failed to perform their duties with responsibility, due care, and loyalty or failed to perform their duties with dishonest intent and obtained unlawful gains for themselves or another person which