complain on the company?s investor contact, Chalerm, the SEC found that Chalerm had received securities and derivatives trading orders from clients, but he had not made any of the transactions. Instead, he
? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s
, the SEC found convincing evidence indicating that during January 15- July 2, 2002 Apichart, Ratchanee, Krisda and Preecha traded KARAT?s shares through the accounts of Rachanee, person close to
found that {A} had been authorized by his client to make securities trading decisions on the client's behalf with high trading volume. The communication record showed that {A} traded the securities and
, including other transactions related to such current account as found from the special audit; 2. NIPPON has not set an allowance for doubtful debts on the money siphoned by NIPPON ' s former
Limited while the misconduct occurred. Following the inspection report of Tisco Securities Company Limited, the SEC further probed into the case and found that Napat submitted a number of securities and
misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He
Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and
complaint and inspection report of Maybank Kim Eng Securities (Thailand) Plc, the SEC further probed into the case and found that {A} traded securities on behalf of a number of clients. He traded securities
procedures to determine the validity of such service providing was found. In case of another company, his observation and random count of physical inventories found discrepancy between the outstanding balance