a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the

to her advice. {C} also failed to record her giving of investment advice and accepting of securities trading orders from many of her clients. {C} admitted that the unrecorded orders were taken via

findings, evidence and the company?s explanations showed ? failed to comply with the generally accepted accounting principles. In November 2010, Chonburi Kanyong Co., Ltd., a CCP subsidiary, sold its

companies transparently or check thoroughly the fund?s assets before accepting them from the leaser. They also failed to provide evidence or contracts that would have proved the appropriateness of the

investment consultant of Asia Plus Securities Plc.  Following the report of Capital Nomura Securities Plc., the SEC probed into {A} case and found that he failed to record the client's securities trading

Sales and Services PLC (SECC), failed to supervise SECC to submit (1) the reviewed financial statements for Q1/2008, (2) the financial statements for the year 2008, (3) the annual registration statement

K-TECH Construction Public Company Limited K-TECH Construction Public Company Limited, failed to prepare and submit the financial statements for the year 2012 and the annual registration statement

L.V. Technology Public Company Limited L.V. Technology Public Company Limited, failed to prepare and submit (1) the annual report for the year 2013 (Form 56-2, 2013) (2) the reviewed financial

result, he aggregate shareholding exceeded trigger point at 25 percent of the total voting rights of KC. But he failed to make a tender offer for all KC securities within the period specified by the

”)’s assets, failed to perform duties responsibly, carefully and honestly, seeked unlawful gain for himself or other persons causing damage to the company, and committed or permitting wrongful acts