misappropriated the client's subscription cash payment of 500,000 baht for his own use. He then ordered his subordinate to transfer units of another mutual fund held by the same client into the solicited fund by
, was not significantly different from its book value. In fact, B671 million of the land?s appraisal value plus the land filling payment was materially lower than its book value recorded at B946 million
including appraisal of impairment of assets, transactions occurred after the date of the financial statements, limitation of internal control of receipt and payment transactions, trade receivables, other
by providing their trading accounts to be used. In addition, {B} also helped place trading orders while {C} and {D} took care of the withdrawal of cash collateral or payment for trading of RICH shares
. Dome Fund to pay 10.4 million baht to Bania. It was claimed that the payment was made for the turnkey contract of construction and improvements of certain areas in T.U. Dome Fund assets, which was
action by placing trading orders through other persons? trading accounts and making payment for such transactions.Swake?s action was in violation of Section 241 of the Securities and Exchange Act B.E. 2535
the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee. The criminal case has thus not been regarded as settled.In this
concerning 2012 interim dividend payment and warrants to purchase CMO ordinary shares to be issued and allocated to existing shareholders for free. Following public disclosure of such information, he sold all
illustrating making trading decision before client acknowledgement. The client then acknowledged the transactions without any objection and made payment completely. {A}'s actions were deemed using client
her client regularly as well as reported to her client on the summary of profit and loss on a monthly basis. On March 12, 2012, {A} made trading decisions without the client's instruction and payment