authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer
employee of Ausiris Futures Co., Ltd. {A} and four employees of KGI Securities (Thailand) PLC {B}, {C}, {D}, and {E}, effectively from August 17, 2012, as well as revealing inappropriate actions of {F} and
shares by using non-public information about SOLAR and Wuxi Suntech Power Co., Ltd. (SUNTECH) jointly won the bid for solar power plant project of Bangchak Petroleum PLC (BCP) in which SOLAR will be
Organization for Economic Co-Operation and Development (OECD). The areas of assessment consist of (1) basic requirements and (2) bonus and penalty, the result of which will be distributed in 2013
Siam City Securities Co., Ltd., in using Somchai's and other persons? securities trading accounts to continuously trade AMC shares in concealment to mislead the public to believe that such shares were
Siam City Securities Co., Ltd., in using Somchai?s and other persons? securities trading accounts to continuously trade AMC shares in concealment to mislead the public to believe that such shares were
. Auditing performance by YNP?s auditor -Somchai Kurijitkosol of SK Accountant Services Co., Ltd., was then brought under the SEC?s investigation where Somchai?s serious audit mistake and non-compliance with
-2010. The SEC reviewed audit performance of Jadesada Hungsapruek, NIPPON?s auditor of Karin Audit Co., Ltd. and found that Jadesada did not comply with auditing standards. He did not carefully review