broadcast live on the SEC Facebook Page and the TFAC Facebook Page. The seminar was recorded and can be viewed again at: https://fb.watch/h9nDb_hFuD/. __________________________

admitted that the client allowed him to sell the securities in cases of making profit or potential loss. From his conversation with the client recorded, he traded securities for the client several times a

securities transfer forms several times instead of the ones officially recorded on the client database, and affixed signature as branch manager to approve certain securities transfers.Phillip Securities

, EARTH has the total debt of 47.48 billion baht, higher than the total debt of 21.48 billion baht recorded in the first quarter of the fiscal year 2017, and the total assets of 31.829 billion baht. On 7

information on revenues from advisory services for related persons, even though certain information indicated that the revenue may not exist. Such revenue, if not exist, will bring down the company's recorded

derivatives trading orders for several clients without sources of orders. From the recorded conversation, it was found that Napat contacted some persons and asked for permission to submit securities and

admitted that the client, at the beginning, had authorized him to make securities and derivatives trading decisions on her behalf. Also, the recorded conversation found later indicated that the client

}, without informing the client, continued trading securities in an attempt to recover loss in this account. Also, it was found in the recorded conversation that {A} asked another client for permission to

flooring products to nine local customers in 2007; most of which were new customers. The company subsequently recorded a high amount of 320.8 million baht doubtful debt expense in 2008 financial statements

showed that a number of clients' securities trading orders were not completely recorded. For {C}, the first investigation revealed that she failed to completely record her advice and a client's securities