market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders. He
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
e-service Online Submission See canceled document Securities Borrowing and Lending >> Accounting and Records (section 105) Type Title Section See Document Status Notified Date Effective Date 1. Act
concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed http://market.sec.or.th/public/idisc/en
value of each year for the last three years, and trading suspension records;(5) To prepare financial statements for the past three years and the latest quarter in accordance with the determined
securities for the client's account. Besides, communication records between {A} and his client showed his promise to payback. Making trading decisions on securities in the client's account without the client's
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