}, 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
} proposed his clients the portfolio investment in advance and the clients accepted all transactions proposed. In addition, the recorded conversation showed that {A} specified securities, prices and amount to
}, the capital market investment consultant received trading orders from the person who was not owner of securities trading account without any written authorization letter. From the recorded conversation
phone and Line Application. However, the recorded conversation showed that she accepted to trade securities on behalf of clients.Failure to disclose specific risk of securities and trading securities on
potential loss. From his conversation with the client recorded, he traded securities for the client several times a day and submitted the selling orders at the prices lower than or equal to the purchase
that should have been recorded on audio tape were reported on a written trading order form instead. Evidence of trading order execution is critical and very useful, especially in case of disputes among
true value of the hotel as recorded in the accounts. Furthermore, it was found that they fabricated the accounts to mislead the company's auditor into believing that the company had fully received