was sufficient and appropriate with regard to the audit of the revenue and the accrued income which were material to the financial statements, causing her to fail to detect the fictitious revenue and
from SCB Securities Co., Ltd. that {A} frequently failed to record her clients' securities trading orders. She then admitted that when orders had been executed completely from many of her clients, she
signaling from credit watch placement which would affect listed companies? share prices.Sakda Thirasophon, researcher, Faculty of Commerce and Accountancy, Thammasat University said that the study aimed to
received the report from Siam City Securities Co., Ltd., on its investigation into misconduct of Meaunchit who had sent trading orders of other individuals through her clients? accounts without such clients
who were her close relatives and friends instead. In so doing, she secretly used her supervisor’s computer to change the names of the persons having the right to such IPO allocation. Consequently, the
committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd. Following the inspection reports of Globlex and KTB and her clients? complaints, the
persuaded other persons to do the same, and (3) Mrs. Panadda Soontornsaratul assisted Chanthani?s insider trading by allowing her to use her trading account for the purpose.Following a referral from the Stock
Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's
M.L. Apisada Chayangkura (formerly M.L. Phatarawadee) M.L. Apisada Chayangkura (formerly M.L. Phatarawadee), former director of SECC Holding Co., Ltd. (SECC Holding), failed to perform her duties as
”) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after her had acquired BTNC shares so that the acquisition or disposal of such shares caused