in fact the company had already been listed and its shares were being on Suspension Trading (SP) sign. Moreover, he failed to give relevant documents to the client before the client decided to invest

indicating the client allowed {B} to make securities trading decisions on the client's behalf. In addition, OSK Securities probe further into the case and found that {C} failed to record several securities

from their failure to properly perform a due diligence in case of a company applying for initial public offering of shares as follows: 1. As the financial advisor supervisors, they failed to verify the

} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation

failed to show evidence of their clients trading orders, and most of them admitted that they had taken orders via mobile phone, claiming the clients unfamiliarity with order execution via phone recording

the Securities and Exchange Act. In addition, He failed to order or act his duty resulting in Solaris Asset Management Co., Ltd. violation of section 117 of the Securities and Exchange Act. Solaris

statements for the third quarter of 2016, which had failed to present correct information on the liabilities incurred from the bills of exchange issuance. The initial deadline for submitting the special audit

According to the SEC inspection findings, Asia Wealth Securities Company Limited had failed to maintain the minimum net capital (NC) as required by the SEC regulations since 14 November 2022 and

2015 and 2016 were restated because fictitious revenue had been recorded.  The SEC reviewed Patamavan’s engagement performance as NMG’s auditor and found that she failed to obtain reliable evidence that

important information and business secrets of the company without approval. He later resigned from the company.  SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended