Section 243 (1) in conjunction with Section 244 and Section 243 (2) of the SEA and Section 83 of the Penal Code. Lalana, however, failed to pay the fine as ordered by the Settlement Committee. Therefore

via internet trading accounts of the clients. In case of {B}, the SEC found that he failed to record a large number of clients' securities trading orders. {B} admitted to his employer that he took those

into the case and found that {A} submitted trading orders for EIC securities on the client's behalf, during the period of tender offer launched by such client.  In so doing, {A} failed to inform the

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

purchase or sell such shares which resulted in the purchase or sale of UMI shares not consistent with the normal market conditions. Failed to pay fines as ordered by the Settlement Committee, the SEC

Mr. Soraj Asavaprapha While being a director of Jasmine International Public Company Limited (JAS), Mr. Soraj Asavaprapha failed to perform his duties with loyalty as a result of obtaining unusual