trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital

, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from

orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading

system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders

Public Company Limited 49,433,806 8.65 4 Nomura Securities Co Ltd-Client A/C 23,344,331 4.08 5 Unicentral Company Limited 21,218,182 3.71 6 Smbc Nikko Securities Inc. - Client Account 20,220,550 3.54 7 Mr

to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

company to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

0.27% of Sales. Due to Thai baht against dollar when compered from last year. Please be informed accordingly. Sincerely yours, (Mr. Sombat Leeswadtrakul) Chief Executive Officer

, due to decreasing of the loan from financial institutions for working capital Please be informed accordingly. Sincerely yours, (Mr. Sombat Leeswadtrakul) Chief Executive Officer

Sotpiparpnukul) Chief Executive Officer Authorized Director